Mandates Beyond the Advisers Act: Anti-Money Laundering, ERISA Compliance and '34 Act Section 13 Reporting for Investment Advisers

While the Investment Advisers Act of 1940 includes most of the rules and regulations an advisory firm needs to abide by to be compliant, other regulations affect advisory firms in significant ways and must be considered. This session surveys anti-money laundering, basic ERISA compliance for advisers and '34 Act Section 13 reporting requirements for advisers – mandates that every advisory firm needs to understand and might need to incorporate into its compliance program.