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SEC/NASD Compliance: Designing and Implementing an Effective Compliance Program for Mutual Funds, In--2005

In these materials, senior SEC and NASD officials and leading practitioners give insight into the top compliance issues facing broker-dealers, investment companies, and advisers. materials provide thorough analysis of the rules coming out of the regulatory bodies and addresses the best practices to help firms meet their compliance requirements. Topics include: complying with the new SEC and NASD compliance rules Developing an effective compliance program; structuring the CCO position; drafting policies and procedures; dealing with e-mail and recordkeeping requirements; and the SEC/NASD audit and examination process. CK103

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Coursebook Papers:

Compliance Programs for Mutual Funds and Investment Advisers (21 pp) $29.00

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Study Materials (13 pp) $29.00

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SEC Examinations (17 pp) $29.00

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Practical Tips for Handling Regulatory Inspections (21 pp) $29.00

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Examination Request List – List of Books and Records Requested for Review (8 pp) $29.00

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Compliance Checklist – Supervisory Control Amendments (6 pp) $29.00

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Compliance Checklist – Documenting the Annual Review of the Firm’s Compliance Programs (4 pp) $29.00

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NASD Notice to Members – Guidance Regarding Rule 3012(a)(1) Requirement to Test and Verify a Member’s Supervisory Policies and Procedures (4 pp)

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