SEC and Investment Advisors (E)

Catalog description

This course is designed to introduce students to (1) terminology, concepts, “hot topics,” and laws relevant to the investment management industry, specifically investment advisers; (2) administration and enforcement of the Investment Advisers Act by the U.S. Securities & Exchange Commission; (3) the skills needed for risk-centric roles, such as those of compliance, audit, and risk management professionals; and (4) effective communication in a corporate—as opposed to a law firm or courtroom—environment (e.g. corporate governance reporting, in-house client counseling, policy and procedure drafting, administrative rule summations and guidance, etc.). It provides students a window into the world of investment management and one of its central corresponding regulatory regimes, while also highlighting the numerous ways legal training can be employed in non-attorney capacities and functions of comparable complexity and challenge.