Home > 2016 Webcasts (archived) >

Exempt Reporting Advisers - Regulatory Requirements and Best Practices
Exempt Reporting Advisers - Regulatory Requirements and Best Practices
 

February 18, 2016

Division
Investment Adviser

Speaker: Brett Niehaus, Consultant, ACA Compliance Group
Speaker: Ken Harman, Consultant, ACA Compliance Group
Speaker: Kimberly Versace, Counsel, Richard Kibbe & Orbe, LLP


Webcast Discussion Includes:

  • Regulatory obligations and compliance best practices for ERAs
  • Recordkeeping and filing requirements
  • SEC examinations
  • Transitioning to full registration