Insights & News

Nicole Kalajian Presents IACCP® Seminar on Books and Records Requirements for Investment Advisors

January 29, 2020
Firm News
PHILADELPHIA – Stradley Ronon Attorney Nicole M. Kalajian presented the NRS Investment Adviser Certified Compliance Professional® (IACCP®) Seminar, “Books and Records Requirements for Investment Advisers” on Jan. 28. The seminar covered SEC books and records rule, recent amendments and expectations regarding non-required records included in the exam list.

Kalajian represents securities and commodities professionals in a variety of complex regulatory, compliance and corporate matters. She has extensive experience launching and advising various investment vehicles, such as hedge funds, private equity funds, venture capital funds, real estate funds, commodity pools, fund of funds and socially responsible investment vehicles. Kalajian provides legal and compliance guidance to registered and exempt investment advisers, commodity pool operators, commodity trading advisers, futures commission merchants, introducing brokers, forex firms, proprietary trading firms and broker-dealers.

About Stradley Ronon
Counseling clients since 1926, Stradley Ronon has helped private and public companies – from small businesses to Fortune 500 corporations – achieve their goals by providing pragmatic, value-driven legal counsel. With offices in eight strategic locations, our responsive team of more than 200 attorneys seamlessly addresses the full spectrum of our clients’ needs, ranging from sophisticated corporate transactions to complex commercial litigation.

Related Resources

back to top