Course Description
Your clients, sales reps, portfolio managers, friends and relatives are all asking when and how they can include cryptocurrency in a portfolio. As a compliance professional, you not only need to understand if and when a digital asset is a security – you need to know the circumstances under which these novel (and potentially risky) investments can be offered to clients in a manner consistent with your duties to the client.
This session will provide the latest from the regulators and will help you design policies and procedures to ensure that due diligence and suitability are considered before any digital asset is considered for a client’s account.
Learning Objectives
After attending this course, attendees should be able to:
- Expand your understanding of regulatory initiatives for digital assets.
- Develop due diligence and suitability criteria for recommending cryptocurrency.
- Help senior management determine whether, and under what circumstances, your firm should offer these assets.
For whom: Designed to increase the professional competence of investment adviser professionals with legal, compliance and management responsibilities.
Suggested Skill Level: Intermediate
Instructional Method: Group Internet-Based and Group Live
Pre-requisites for participation: No prerequisites are required. However, attendees can benefit by reviewing the Investment Advisers Act of 1940 and the Investment Company Act of 1940, especially Advisers Act Rule 206(4)-7 and Investment Company Act Rule 38a-1, to become familiar with the structures and terms.
Advance Preparation: None
Continuing Education Credits
COMPLY Continuing Education Guide
Recommended CPE Credit: 2 in the Regulatory Ethics field of study
Recommended IACCP® CE Credit: 2
Recommended CA MCLE Credit: 2
