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IFS Annual Compliance - 2014

Instructor

Patrick Ifrah

Reviews (2)

Miša Dečermić
Miša Dečermić

Overview

Ifrah Financial Services, Inc. is a registered investment adviser with the U.S. Securities and Exchange 
Commission (SEC) under the Investment Advisers Act of 1940 (Advisers Act). 
Our firm has a strong reputation based on the professionalism and high standards of the firm and our 
employees. The firm's reputation and our advisory client relationships are the firm's most important asset. 
As a registered adviser, and as a fiduciary to our advisory clients, our firm has a duty of loyalty and to 
always act in utmost good faith, place our clients' interests first and foremost and to make full and fair 
disclosure of all material facts and in particular, information as to any potential and/or actual conflicts of 
interests. 

The following IFS Annual Compliance 2014 Training material includes the following topics:

  • 1. Introduction (This Section)
  • 2. Policies and Procedures 
  • 3. Business Continuity Plan
  • 4. Client Privacy/Confidentiality/Security
  • 5. Email Communications
  • 6. Social Media (LinkedIn, Facebook, etc.)
  • 7. Political Contributions
  • 8. Anti-Money Laundering issues
  • 9. Outside Business Activities
  • 10. Personal Securities Transactions
  • 11. Custody Issues
  • 12. Investment and Operational Risks
  • 13. Whistleblower
  • 14. Wire Fraud/Email Requests to Wire Funds
  • 15. General Discussion/Questions

Course content

  • Policies and Procedures

  • Business Continuity Plan

  • Client Privacy/Confidentiality/Security

  • Email Communications

  • Social Media

  • Political Contributions

  • Anti-Money Laundering Issues

  • Outside Business Activities

  • Personal Securities Transactions

  • Custody Issues

  • Investment and Operational Risks

  • Whistleblower

  • Wire Fraud/Email Requests to Wire Funds

  • General Discussion/Questions

Interested? Enroll to this course right now.

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