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RIACF & LawVisory University
by Jeffrey SmithThe primary purpose of this series is to educate and empower in-house registered investment adviser legal and compliance professionals and others interested in this area so they can be more confident and able in their roles. This program is designed to help you meet the tremendous, growing responsibilities laid upon your back by the lawmakers and regulators that examine and enforce the countless laws, rules and regulations applicable to registered investment advisers in the United States of America.
Copyright: Jeffrey Smith
Episodes
Episode 02: Section 203 of the Advisers Act
9m · PublishedIn this episode, we are looking at Section 203 of the Investment Advisers Act of 1940, which deals with the registration requirements for SEC registered investment advisers.
Episode 01: Investment Advisers Act Overview
12m · PublishedThis episode is an overview of the Investment Advisers Act of 1940, and is designed to provide a firm conceptual framework and foundation upon which to build your understanding of the most important law affecting investment advisers in the United States.
Introduction
4m · PublishedWe are extremely excited to share with you RIACF & LawVisory University, where we will be providing free educational content teaching legal and compliance professionals working with or for registered investment advisers.
RIACF & LawVisory University has 13 episodes in total of non- explicit content. Total playtime is 2:11:11. The language of the podcast is English. This podcast has been added on October 28th 2022. It might contain more episodes than the ones shown here. It was last updated on February 16th, 2024 05:18.
