Compliance Training & Periodic Regulatory Updates
Orical provides compliance training for all members and employees of your firm. Compliance trainings are led by our investment management attorneys and a partner. Orical provides firmwide training sessions at least annually and on an as-needed basis, including new employee training and adviser onboarding.
Orical works with your firm to create a customized, practical training session for your team. Training topics typically include but are not limited to: investment adviser’s code of ethics; anti-insider trading policies; current SEC regulatory updates and trends; trading and allocation practices; disclosure requirements; privacy, confidentiality, and protecting firm and client property; cybersecurity; advertising and performance reporting; expert networks; electronic communications; media communications/relations; reporting of violations and whistleblower policies.
Orical also provides periodic regulatory updates to our clients, including CCO Alerts, overviews of SEC Regulatory Updates and Enforcement Actions, and other notable alerts and publications to keep you up to date with the industry’s latest laws and regulations.
For more information on our compliance trainings or to sign up for our emails and publications, please reach out to us at firstname.lastname@example.org. One of our experienced professionals will respond promptly.