Compliance Requirements

Lesson Overview

In "Capital Access Preparation" → "Compliance and Materials", this lesson "Compliance Requirements" builds knowledge you can apply immediately.

Reporting: monthly performance, trade summary, drawdown events. Prohibited: manipulation, undisclosed conflicts. Violation → revocation.

Core Concepts

These points align with the video walkthrough—take notes as you watch.

• ▸Reporting: monthly performance, trade summary, drawdown events.
• ▸Prohibited: manipulation, undisclosed conflicts.
• ▸Violation → revocation.

Practical Application

After studying, complete the companion practice lesson to move from understanding to doing.

• ▸Check progress against the Star Program checklist
• ▸Add key points to your growth portfolio
• ▸Discuss takeaways in the community

FAQ

• ▸Q: How does this lesson fit the course? A: Part of "Compliance and Materials"—follow the curriculum order.
• ▸Q: What do I need? A: Demo account and notes; quant lessons need a Python environment.
• ▸Q: How do I know I've mastered it? A: Pass the quiz and explain three key points of Compliance Requirements on your own.