Certificate in Investment Management Regulations
-- ViewingNowThe Certificate in Investment Management Regulations is a comprehensive course that provides learners with an in-depth understanding of the regulations and compliance requirements in the investment management industry. This course is essential for anyone looking to advance their career in this field, as it covers critical topics such as securities laws, fiduciary duties, and risk management.
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โข Introduction to Investment Management Regulations: Overview of the regulatory landscape and governing bodies, key regulations and their impact on investment management. โข Securities Laws and Regulations: Comprehensive study of securities laws, regulations, and guidelines affecting investment management, including the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Company Act of 1940. โข Investment Advisers Act: Detailed analysis of the Investment Advisers Act of 1940, registration requirements, and compliance obligations for investment advisers. โข Regulation of Investment Companies: Examination of the regulation of investment companies, including open-end funds, closed-end funds, and exchange-traded funds (ETFs). โข Regulation of Broker-Dealers: Study of the regulations governing broker-dealers, including their registration, reporting, and compliance requirements. โข Anti-Money Laundering (AML) and Know Your Customer (KYC): Overview of AML and KYC regulations, and their implications for investment management, including customer identification programs, suspicious activity reporting, and recordkeeping requirements. โข Compliance and Risk Management: Study of compliance programs, risk management, and internal controls in investment management, including policies, procedures, and training. โข Ethics in Investment Management: Examination of ethical considerations in investment management, including conflicts of interest, fiduciary duties, and professional conduct. โข Examinations and Enforcement: Overview of regulatory examinations and enforcement actions, including the examination process, enforcement actions, and penalties. โข Emerging Topics in Investment Management Regulations: Study of emerging topics in investment management regulations, including digital assets, crowdfunding, and other alternative investment vehicles.
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