Helping Your Investment Adviser Understand Investment Advisory Client Contracts

June 05, 2013

Routinely, the U.S. Securities and Exchange Commission (“SEC”) will conduct examinations of investment adviser firms. During the examination process the SEC will request certain information or documents that the SEC examiners will review as part of the examination process. As part of the examination process, investment adviser can anticipate that their firm’s investment advisory agreements will be reviewed. Investment advisers may encounter deficiencies or similar regulatory violations if the investment adviser’s advisory contracts do not comply with the applicable SEC or state regulations.  Additionally, having in place a properly drafted investment advisory agreement or contract can help limit an investment adviser’s professional liability. To help your investment adviser further understand investment advisory client contracts, RIA Compliance Consultants is hosting a webinar, “Key Elements that Should be Included in an Investment Advisory Client Contract – Presented by Bryan Hill Law.” (RIA Compliance Consultant’s is not a law firm.) This webinar will cover topics pertaining to advisory client contracts, including, but not limited to:

  • General Regulatory Requirements for Investment Advisory Client Contract
  • Best Practices for Investment Advisory Client Contract
  • Key Elements to an Effective Investment Advisory Client Contract
  • Common Mistakes Found in Investment Advisory Client Contracts

This webinar will be hosted, Thursday, June 6, at 12:00 CDT. To register for this event, please click here. In the event that you are unable to attend our webinar on the day of our scheduled event, we will have available for purchase a recorded version of the live webinar. The recorded version of the live session will be made available for purchase approximately one week post the live event.

Posted by Bryan Hill
Labels: Client Contracts, Compliance Program, Compliance Training, Webinar