Certificate in AM Legal Frameworks: Overview
-- ViewingNowThe Certificate in AM Legal Frameworks: Overview course is a comprehensive program designed to provide learners with a solid understanding of the legal frameworks that govern the asset management industry. This course highlights the importance of compliance and risk management, ensuring that learners are well-equipped to navigate the complex legal landscape of asset management.
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โข Introduction to AM Legal Frameworks
โข Understanding Corporate Governance
โข The Role of Compliance in AM Frameworks
โข Key Regulations in Asset Management
โข Legal Risks and Responsibilities in Asset Management
โข Investment Company Act of 1940 and AM Legal Frameworks
โข Securities Act of 1933 and its Impact on AM
โข Securities Exchange Act of 1934 and AM Regulations
โข Role of Regulatory Bodies (e.g. SEC, FINRA) in AM Legal Frameworks
โข Developing Compliant AM Business Practices
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