6 years of knowledge of securities laws and regulations, including the Investment Advisers Act; 6 years of knowledge of creditoriented investments, insurance company riskbased capital constraints, and interpreting insurance investment guidelines; 6 years of knowledge of Investment Advisers Act marketing rules, and ability to coordinate marketing in jurisdictions under foreign marketing rules; 6 years of experience drafting Form ADV Part 2, completing Form ADV Part 1 and Form PF and filing registrations or exemptions with the NFACFTC; 6 years of experience conducting compliance monitoring and testing, including conducting the annual 20647 compliance review and drafting related reports; 6 years of experience responding to regulatory exams and inquiries; and 6 years of experience monitoring compliance with investment guidelines, loan covenants and investment advisory agreement obligations. Experience can be concurrent.
Categories: eb3
0 Comments