transcript   Transcript

Core Investment Adviser Regulations

Recorded on: Jun. 27, 2018
Running Time: 01:00:54

Full Transcript:

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Taken from the Web Program Fundamentals of Investment Adviser Regulation 2018 Recorded June 2018 in New York

Core Investment Adviser Regulations [01:00:54]
  • The Anti-Fraud rules
  • Rules impacting trading practices
  • Recordkeeping

Maureen Baker Fialcowitz, Heather L. Traeger

(CFE Field of Study: Fraud)

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:
  • Investment Advisers and New Client Relationships (April 27, 2018)
    Heather L. Traeger
Presentation Material
  • Core Investment Adviser Regulations
  • Maureen Baker Fialcowitz, Heather L. Traeger
    Maureen Baker Fialcowitz ~ Chief Legal Officer, PGIM Public Side Businesses, The Prudential Insurance Company of America
    Heather L. Traeger ~ CCO & Compliance Counsel, Teacher Retirement System of Texas
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