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YORK - MIAMI - LA - HONG KONG - DUBAI - SINGAPORE - BEIJING
LLM
222- Investment Management and Compliance – Prof. Byrnes
& Mentz
Course
Description: This course is unique as it is a combination
of compliance, risk, and investment management. Students
will learn to understand various rules of communications,
privacy, and ethics in the area of managing investments
and assets. Moreover, students will learn to develop investment
policy, effectively abide by fiduciary rules, while also
comprehending prudent investment management. Many new products
and services are available in this sphere which will also
be discussed including: ETFs, Hedge Funds, and other high
end products and advisory services. Furthermore, SEC, NASD
and other cases and opinions will be reviewed and the student
will develop skills in asset allocation, portfolio management
along with risk management which also revolves around important
tax laws. Students will also review important regulations
regarding attorneys, insider trading, outsourced contracts
and marketing laws. Best practices, research skills, case
studies, and a final project are part of this course.
Investment Management and Compliance
1. Client Review and Communication
2. Disclosure, Privacy, and Annual Reporting
3. Investment Management, Compliance Law, and Ethics.
4. Investment Policy and Law
5. Fiduciary Rules and Regulations for Investment Advisors
and Managers; Prudent Investor Rules
6. Investment and Retirement Products: Mutual Funds and
ETFs and 401Ks.
7. Hedge Funds History and LAW (Tax Issues)
8. SEC and NASD Regulation of RIA Registered Investment
Advisors
9. Asset Allocation and Portfolio Management
10. Risk Management, Fundamental and Technical Analysis,
& Measuring Returns
11. Marketing and Promotional Rules and Regulation.
12. Outsourcing of investment management and legal issues.
13. Insider Trading
14. Attorneys and Compliance
This
course may review several articles:
How
the SEC Works: http://www.sec.gov/about/whatwedo.shtml
Advertising Rules: http://www.nasd.com/RulesRegulation/IssueCenter/Advertising/index.htm
The Economics of the Estate Tax: http://www.house.gov/jec/fiscal/tx-grwth/estattax/estattax.htm
Trust Exam Manual: http://www.fdic.gov/regulations/examinations/trustmanual/section_7/section_vii.html
Retirement Plans: http://www.irs.gov/retirement/content/0,,id=97110,00.html
Risk Management: http://www.sec.gov/news/studies/bdriskp.htm
Tax Fraud Investigations: http://www.irs.gov/compliance/enforcement/article/0,,id=129075,00.html
Standards for Attorneys: http://www.sec.gov/rules/final/33-8185.htm
Anti Money Laundering: http://www.nasd.com/RulesRegulation/IssueCenter/Anti-MoneyLaundering/index.htm
Client Communications: http://www.nasd.com/RulesRegulation/IssueCenter/Advertising/NASDW_011979
Insider Trading: http://www.sec.gov/answers/insider.htm
LLM
Online Course Requirements for AAFM Financial Board Certification:
- CWM
Chartered Wealth Manager - Take LLM 131, and LLM200
- CTEP
Chartered Trust & Estate Planner - Take: LLM111 and
LLM 131
- CPM
Chartered Portfolio Manager - Take LLM 222
- CRA
Chartered Risk Manager - Take LLM106 and 110
- CAM
- Chartered Asset Manager - Take LLM 104 and LLM 105
- CMA
- Chartered Market Analyst - Take LLM 333 (Must of Masters
Degree, JD or CPA)
- RFS
- Registered Financial Specialist - LLM 101 and LLM 102
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