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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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