SNSFE Webinar: Gershon Presents Webinar On Compliance

SNSFE associate Jeffrey M. Gershon presented an educational online seminar this morning entitled "Compliance Survivor: Simplifying Complex Regulatory Concerns."

In his 50 minute webinar geared to investment advisers, Jeff discussed regulatory issues such as conflicts of interest, duty to disclose and failure to disclose, lack of internal controls, policies and procedures, requirements, violations, and custody and possession. He talked about the importance of recordkeeping, including advertising, performance results and claims, advisory agreements, risk identification process, email, and electronic storage. Jeff also covered SEC investor complaints and questions, suitability, dealing with customer complaints, and hedge fund and fund of funds due diligence.

Click here to see the recorded presentation. (Note: May require download and installation of Player application.)

Click here to see a PDF slideshow.

Click here to see our listing of recorded presentations.

For information on upcoming live webinars and other events, go to our News & Events page.