JG Advisory Services LLC - Hedge Fund Compliance Consulting.

TM1 - Basic Training

**New! Updated for 2008**

Compliance Basics for Hedge Fund Employees - For Registered and Unregistered Advisers
- 2008 Version

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: advisers’ fiduciary duties, best execution, soft dollars, insider trading, principal transactions, pricing and valuation, current US regulatory environment, conflicts of interest, fraud (including SEC’s new rule), trade allocations and aggregations, disclosure, and special obligations of registered advisers.

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 2007 and 2008

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)

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Existing Customer? Login Now




Home About Us Blog Contact Us Service Providers Best Practices Checklist Training

Become a beta tester for our newest product now under development. Click under "Best Practices Checklist" for complete details on this exciting project! -AND- Click on the "Training" tab for a FREE webinar outlining the need for investment advisers to train employees on compliance and unlawful employment practices. -AND- *NEW FOR 2008* Updated Compliance Basics Training Module** This valuable training tool has been updated for 2008! Click on "Training" tab for purchase and more information. -AND- Keep abreast of the latest developments in the public company regulatory environment. Visit the Society of Corporate Compliance and Ethics at www.corporatecompliance.org. 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 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 New! Updated for 2008 Compliance Basics for Hedge Fund Employees - For Registered and Unregistered Advisers - 2008 Version 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: advisers’ fiduciary duties, best execution, soft dollars, insider trading, principal transactions, pricing and valuation, current US regulatory environment, conflicts of interest, fraud (including SEC’s new rule), trade allocations and aggregations, disclosure, and special obligations of registered advisers. 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 2007 and 2008 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 Transaction Processing

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JG Advisory Services Hedge Fund Employee Compliance Training Modules

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Hedge Fund Employee Compliance Training Modules