JG Advisory Services LLC - Hedge Fund Comppliance Training Modules - Hedge Fund Compliance Consulting Services

TM1 - Basic Training - 2010 Version

Compliance Basics for Hedge Fund Employees - For Registered and Unregistered Advisers
- Updated for Dodd-Frank Bill, 2010

This training module covers all the compliance basics for hedge fund employees. It’s in an easy-to-understand lecture format (powerpoint + voice-over) and accessible from your desktop. Perfect material for an annual compliance meeting. May be used as orientation for new employees, or to reinforce important compliance concepts with existing staff. Applicable to both registered and unregistered advisers.

Straight through run time about 15 – 20 minutes, longer if you pause for discussion. You control advancement of module slides.

Topics include: General description of US regulatory landscape, including Dodd-Frank bill; specific registered investment adviser obligations; general compliance principles applicable to both registered and unregistered investment advisers, such as fiduciary duties (best execution, principal transactions, pricing and valuation), proper disclosure, insider trading principles and anti-fraud initiatives. This is an excellent introductory broad compliance overview.

Price: $45 per 45 minute log-in. No Refunds.

"Great overview for all employees. Really highlights the principles behind a strong compliance regime."
-COO, major NY based hedge fund group
Copyright 2010

Purchase Now through our Secure Online Form (using credit card)

Contact JG Advisory to pay by alternate means

Existing Customer? Login Now

TM2 - So What's Wrong With That....?
Compliance Case Studies
Part I

Analyze and discuss 5 case studies describing typical compliance scenarios at hedge fund organizations. You are presented with the case and have a chance to decide "what's wrong with that" before proceeding to the answer. This module is excellent for a group meeting and serves as a formidable basis for further discussion on the topics presented. Applicable to both registered and unregistered advisers.

Topics include: code of ethics and compliance manuals - access persons and supervised employees, marketing materials disclosure, failure to supervise, privacy policy, disaster recovery, investment advisor fiduciary duty

Price: $45 per 45 minute log-in. No Refunds.

Purchase Now through our Secure Online Form (using credit card)

Contact JG Advisory to pay by alternate means

Existing Customer? Login Now

TM3 - So What's Wrong With That....?
Compliance Case Studies
Part II

Analyze and discuss 5 case studies describing typical scenarios at hedge fund organizations. You are presented with the case and have a chance to decide your "what's wrong with that" before proceeding to the answer. This module is excellent for a group meeting and serves as a formidable basis for further discussion on the topics presented.

Topics include: best execution, performance track record presentation, strategic investing, fair allocation, rebalancing and principal transactions.

Price: $45 per 45 minute log-in. No Refunds.

Purchase Now through our Secure Online Form (using credit card)

Contact JG Advisory to pay by alternate means

Existing Customer? Login Now

TM4 - Promoting Compliance with Employment Discrimination Laws

This training module is a must for all hedge fund groups, regardless of how small or how casual your organization is! The module discusses the basics of discrimination, harassment and retaliation laws and how these concepts apply in the hedge fund work environment. This unique program also contains three case studies for discussion - use these as a springboard to address the issues that are important to your group. We also discuss the potentially onerous consequences for non-compliance with these laws.

Written by hedge fund compliance specialist Judith Gross of JG Advisory Services, and Ruth Raisfeld, of Ruth D. Raisfeld, PC, an employment attorney experienced in the financial services sector.

This module is desktop accessible and you can control the pace of viewing. Straight-through running time is about half hour, longer if you pause to discuss.

Price: $100 per 1 hour log-in. No Refunds.

"...very good and practical.... The hypotheticals were great."

- COO and GC, hedge fund group

Purchase Now through our Secure Online Form (using credit card)

Contact JG Advisory to pay by alternate means

Existing Customer? Login Now

"This program was particularly effective for our hedge fund business as we are a decentralized inrastructure, and this was the perfect solution to training junior employees located remotely around the world."
- Principal Manager, Hedge Fund Organization with multiple locations




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Did you know that JG Advisory recently celebrated its SIXTH ANNIVERSARY? Ask us about our proven track record of success! JG Advisory is focused on developing solutions in two new compliance areas: CFTC registration for hedge funds that access commodities markets Form PF reporting Please contact us if you would like additional info. Behind on COMPLIANCE TRAINING? We provide hedge funds with on-site or remote training sessions. Highly interactive, specifically customized to your needs. INSIDER TRADING topic a specialty. JG Advisory is pleased to partner with Quest CE (learn.questce.com/firmelement) to deliver training to broker dealers. Call for more information and promo code. Our Basic Compliance Training for employees has been updated to reflect the new Dodd-Frank law and other changes to the rules. Check for it on the Training page, under the TM1 tab! An easy and affordable way to bring your employees up-to-date! Is SEC Registration in your future? Need help with a state adviser registration? Contact us for pricing. We can staff all size projects, from the very large to the very small. All levels available, including administrative and former SEC staff. Call us to discuss your needs. PWG TECHCHECK: now with scoring! Click on the PWG TechCheck tab for more information and to log on. We are always available to discuss your compliance needs. Use our CONTACT US page, or call on 917 375-6852.		Click here for a free webinar by Judith Gross describing the 3 reasons why training of investment advisory personnel is so important! Turn on your sound and advance the slides by clicking the arrow at the bottom right. JG Advisory Services We offer three training options: In-person training, customized to your needs, on topics you choose. Highly interactive, our training sessions engage your employees while making all the important points! Online desktop customized training modules: you choose the topics and format (which may include a quiz and log-in monitoring) and we prepare the module exactly to your specifications. Pre-prepared desktop modules: These are offered below. Chosen to cover the most common compliance topics, these just might fit your needs! Use them as the basis for a group discussion, or have your employees log on individually. Log-in monitoring available. Hedge Fund Employee Compliance Training Modules Click titles for more information. All modules are desktop accessible. After purchase, view them when you are ready and at your own pace! Use them in group meetings, or assign them for individual viewing. Need help with your purchase or want a demo? Call us at 917 375-6852. Need Help or Support? TM1 - Basic Training - 2010 Version Compliance Basics for Hedge Fund Employees - For Registered and Unregistered Advisers - Updated for Dodd-Frank Bill, 2010 This training module covers all the compliance basics for hedge fund employees. It’s in an easy-to-understand lecture format (powerpoint + voice-over) and accessible from your desktop. Perfect material for an annual compliance meeting. May be used as orientation for new employees, or to reinforce important compliance concepts with existing staff. Applicable to both registered and unregistered advisers. Straight through run time about 15 – 20 minutes, longer if you pause for discussion. You control advancement of module slides. Topics include: General description of US regulatory landscape, including Dodd-Frank bill; specific registered investment adviser obligations; general compliance principles applicable to both registered and unregistered investment advisers, such as fiduciary duties (best execution, principal transactions, pricing and valuation), proper disclosure, insider trading principles and anti-fraud initiatives. This is an excellent introductory broad compliance overview. Price: $45 per 45 minute log-in. No Refunds. "Great overview for all employees. Really highlights the principles behind a strong compliance regime." -COO, major NY based hedge fund group Copyright 2010 Purchase Now through our Secure Online Form (using credit card) Contact JG Advisory to pay by alternate means Existing Customer? Login Now TM2 - So What's Wrong With That....? Compliance Case Studies Part I Analyze and discuss 5 case studies describing typical compliance scenarios at hedge fund organizations. You are presented with the case and have a chance to decide "what's wrong with that" before proceeding to the answer. This module is excellent for a group meeting and serves as a formidable basis for further discussion on the topics presented. Applicable to both registered and unregistered advisers. Topics include: code of ethics and compliance manuals - access persons and supervised employees, marketing materials disclosure, failure to supervise, privacy policy, disaster recovery, investment advisor fiduciary duty Price: $45 per 45 minute log-in. No Refunds. Copyright 2007 Purchase Now through our Secure Online Form (using credit card) Contact JG Advisory to pay by alternate means Existing Customer? Login Now TM3 - So What's Wrong With That....? Compliance Case Studies Part II Analyze and discuss 5 case studies describing typical scenarios at hedge fund organizations. You are presented with the case and have a chance to decide your "what's wrong with that" before proceeding to the answer. This module is excellent for a group meeting and serves as a formidable basis for further discussion on the topics presented. Topics include: best execution, performance track record presentation, strategic investing, fair allocation, rebalancing and principal transactions. Price: $45 per 45 minute log-in. No Refunds. Copyright 2007 Purchase Now through our Secure Online Form (using credit card) Contact JG Advisory to pay by alternate means Existing Customer? Login Now TM4 - Promoting Compliance with Employment Discrimination Laws This training module is a must for all hedge fund groups, regardless of how small or how casual your organization is! The module discusses the basics of discrimination, harassment and retaliation laws and how these concepts apply in the hedge fund work environment. This unique program also contains three case studies for discussion - use these as a springboard to address the issues that are important to your group. We also discuss the potentially onerous consequences for non-compliance with these laws. Written by hedge fund compliance specialist Judith Gross of JG Advisory Services, and Ruth Raisfeld, of Ruth D. Raisfeld, PC, an employment attorney experienced in the financial services sector. This module is desktop accessible and you can control the pace of viewing. Straight-through running time is about half hour, longer if you pause to discuss. Price: $100 per 1 hour log-in. No Refunds. "...very good and practical.... The hypotheticals were great." - COO and GC, hedge fund group Copyright 2007 Purchase Now through our Secure Online Form (using credit card) Contact JG Advisory to pay by alternate means Existing Customer? Login Now "This program was particularly effective for our hedge fund business as we are a decentralized inrastructure, and this was the perfect solution to training junior employees located remotely around the world." - Principal Manager, Hedge Fund Organization with multiple locations Transaction Processing

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