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Previously Recorded Webinars

Keep abreast of new investment adviser regulatory developments by the U.S. Securities and Exchange Commission (“SEC”) and state securities regulators by participating in the investment adviser compliance webinars hosted monthly by RIA Compliance Consultants.

Our investment adviser compliance webinars are designed to educate and train participants on the fundamentals of investment adviser compliance and the latest SEC and state securities regulator’s investment adviser rules, enforcement proceedings and no-action letters. RIA Compliance Consultants’ webinar presenters will attempt to provide examples of best compliance practices and practical solutions designed to meet an investment adviser’s compliance obligations.

Once you complete your transaction to purchase a recorded webinar, you will receive two separate emails from RIA Compliance Consultants: (a) an email with a receipt confirming your transaction; and (b) an additional email which includes a link (valid for 30 days) to the site where you can access the recorded webinar.

Technical Requirements: In order to participate, you must have access to a telephone and an Internet browser. PC-based participants will need Windows® 2000, XP Home, XP Pro, 2003 Server, or Vista. Macintosh®-based attendees will need Mac OS®.

Webinar

 

Recording Date/
Cost

   

Webinar – Annual Subscription to Live & Recorded Webinars
Train new staff on basic investment advisor compliance, learn best practices used by chief compliance officers of other investment advisors and stay current on most recent regulatory developments by purchasing our Annual Subscription to Live & Recorded Webinars. Under the Annual Subscription to Live & Recorded Webinars, you will have unlimited access during the next 12 month subscription period to all live webinars (at least 10 per year) hosted by RIA Compliance Consultants and all of the recorded webinars currently available in our library. By purchasing this annual subscription now, you can immediately reduce the average cost of your investment advisor compliance webinars and make sure that you and your colleagues have access to outstanding investment advisor compliance training.

 

$545.00

  Buy Now

Preparing Your Compliance Calendar for 2015
Time: 70 minutes
Description: During this webinar, RIA Compliance Consultants discusses a variety of topics related to the ongoing regulatory requirements for investment advisers including, the Form ADV Annual Amendment filing, the annual offer or delivery of Form ADV, the annual privacy policy delivery, a review of outside business activities of IARs, ongoing due diligence of third party service providers, the assessment of supervisory programs, code of ethics requirements, and personal securities transactions supervision. Additionally, we discuss some of the key areas of regulatory focus during 2014. Our consultants will provide tips for preparing customized compliance calendars, checklists, and forms to assist investment advisers with meeting annual regulatory requirements.

 

November 20, 2014
$69.95

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Cybersecurity for Investment Advisers
Time: 67 minutes
Description: RIA Compliance Consultants presented this webinar to address the importance of information security as it pertains to registered investment advisers. Our consultants discuss the continued and increasing regulatory focus on investment advisers developing, maintaining, monitoring and testing written information security programs designed to protect clients’ assets and confidential client information. We also discuss the National Examination Program Risk Alert issued in April 2014 by the SEC’s Office of Compliance Inspections and Examinations that provides a sample list of information regarding cybersecurity that may be requested during an SEC examination. Additionally, we provide some tips and best practices regarding information security safeguards that investment advisers should include in their written plans.

 

October 30, 2014
$69.95

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Building a Strong Compliance Culture for Your Investment Adviser
Time: 66 minutes
Description: RIA Compliance Consultants presented this webinar to help investment advisers understand what it means to have a “culture of compliance.” During this webinar, our consultants discuss the importance of compliance beginning with the “tone at the top” and working its way throughout the organization. We provide insight into ways you can develop a strong compliance culture beyond just developing strong internal policies and procedures. We also discuss the importance of educating all employees both at the time of employment and on an ongoing basis. Additionally, we talk about holding an annual compliance meeting and what should an investment adviser should consider covering at these meetings.

 

September 25, 2014
$69.95

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Compliance for Independent Registered Investment Advisers with Representatives also Registered with a Broker-Dealer
Time: 66 minutes
Description: RIA Compliance Consultants presented this webinar to discuss the compliance challenges and conflicts of interest faced by independent registered investment advisers that allow their investment adviser representatives to also conduct brokerage business as registered representatives of an independent broker-dealer. During this webinar, our consultants discuss the importance of clearly understanding the compliance differences between these two roles and implementing strong compliance policies and procedures to address the risks and conflicts of interest associated with offering both business models. We discuss the importance of communicating to clients the difference in the role of an investment adviser representative versus a registered representative as well as providing full disclosure regarding the conflicts or potential conflicts of interest present because of a representative’s ability to act in both capacities. We also discuss the focus the SEC is placing, as indicated in the SEC National Examination Program Examination Priorities for 2014, on the risks associated with being dually registered in these capacities. Additionally, our compliance consultants provide some tips and best practices for developing a compliance program to address these risks and conflicts.

 

August 21, 2014
$69.95

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Investment Adviser Service Provider Due Diligence Reviews
Time: 54 minutes
Description: Most investment advisers will use some type of service provider to assist with providing services to advisory clients or performing ongoing compliance and regulatory responsibilities. Utilizing a service provider does not eliminate an investment adviser’s fiduciary and regulatory responsibilities for the outsourced services. Investment advisers must develop ways to assess, supervise, and monitor service providers and the activities delegated to service providers. RIA Compliance Consultants presented this webinar to discuss the importance of performing due diligence on all service providers utilized by the investment adviser. During this webinar, our consultants provided guidance on developing service provider due diligence policies and procedures. We also provided recommendations on the frequency of due diligence reviews and what should be covered during in the initial and ongoing due diligence process.

 

July 24, 2014
$69.95

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How to Become a Registered Investment Advisor
Time: 62 minutes
Description: During this previously recorded webinar, RIA Compliance Consultants explains in detail the process and documents necessary for registering a firm as an investment advisor, the criteria for determining whether a firm should register with the SEC or state securities regulators, and the common pitfalls or mistakes experienced by applicants. Additionally, our consultants give numerous best practices used by applicants when registering as an investment advisor. Finally, we will review some of the ongoing obligations of a newly registered investment advisor.

 

July 16, 2014
FREE

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Compliance Requirements for Investment Adviser Advertising and Marketing
Time: 69 minutes
Description: Marketing/Performance was one of the areas of focus specifically referenced for investment advisers in the SEC’s National Examination Program Examination Priorities for 2014. RIA Compliance Consultants presented this webinar to help investment advisers gain a better understanding of the compliance requirements for marketing and advertising. During this webinar, our consultants discuss Rule 206(4)-1 of the Investment Advisers Act of 1940, which specifically addresses prohibited practices relating to advertisements by investment advisers. Additionally, we discuss some of the guidance that has been provided through SEC no-action letters and enforcement actions related to marketing materials used by investment advisers. Some of the requirements specifically related to performance advertising and the use of social media are addressed in this webinar. Our consultants also provide you with some tips and best practices for preparing, supervising, and approving marketing materials.

 

June 19, 2014
$69.95

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Establishing and Supervising Solicitor Arrangements
Time: 53 minutes
Description: If your investment adviser will act as a solicitor for other investment advisers or third-party money managers or it will have arrangements where it will pay a third-party for client referrals, this webinar will help you further understand the initial and ongoing requirements of having solicitor arrangements. During this webinar, RIA Compliance Consultants reviews the requirements of SEC Rule 206(4)-3 and the registration requirements of some state securities regulators. Additionally, one of our consultants discusses some best supervisory practices for investment advisers that have solicitor arrangements.

 

May 15, 2014
$69.95

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Understanding the Role of the Chief Compliance Officer
Time: 58 minutes
Description: During this webinar, RIA Compliance Consultants discusses the requirement for each investment advisor to designate an individual to serve in the role as Chief Compliance Officer (CCO) pursuant to Rule 206(4)-7 under the Investment Advisers Act of 1940. One of our senior compliance consultants discusses who should serve in the role as the CCO, what it really means to be the CCO, and the responsibilities associated with serving as the CCO for your investment advisor. As part of this discussion, our consultant also speaks about the ability to serve in a CCO role without having “supervisory” responsibilities. Additionally, our consultant provides an overview of the ongoing compliance requirements that must be administered by the CCO.

 

April 17, 2014
$69.95

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Investment Adviser Code of Ethics Requirements
Time: 54 minutes
Description: During this webinar, RIA Compliance Consultants discusses the requirement for investment advisers to adopt a Code of Ethics under Rule 204A-1 of the Investment Advisers Act of 1940 and similar state requirements. Our consultants discuss the requirements under Rule 204A-1, which includes personal securities transaction supervision and monitoring. In addition, our consultants discuss policies investment advisers should consider related to political contributions requirements (Pay to Play), gifts and entertainment, and whistleblower provisions.

 

March 20, 2014
$69.95

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Preparing for a Regulatory Exam
Time: 60 minutes
Description: During this webinar, RIA Compliance Consultants discusses the 2014 SEC examination priorities for investment advisers. Our consultants provide an overview of the examination process and tips on steps a registered investment adviser can take to make sure that they are ready at all times for a regulatory examination. We also discuss the types of information and documentation that may be requested during an examination and some of the common regulatory deficiencies found during the examination process.

 

February 20, 2014
$69.95

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Preparing Your Form ADV Annual Amendment
Time: 68 minutes
Description: During this previously recorded webinar, RIA Compliance Consultants reviewed the Form ADV items that are required to be updated on an annual basis. Our consultants discussed some of the common mistakes we see when investment advisors are filing their annual amendment. Additionally, our consultants addressed some of the other amendments and filings that may need to be made with your annual amendment.

 

January 16, 2014
$69.95

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Preparing Your Compliance Calendar for 2014
Time: 65 minutes
Description: During this webinar, RIA Compliance Consultants provides an overview of ongoing regulatory requirements for investment advisers. Our consultants provide tips for preparing a customized compliance calendars, checklists, and forms to assist investment advisers with meeting annual regulatory requirements. Our consultants discuss a variety of topics, including , the Form ADV Annual Amendment filing, the annual offer or delivery of Form ADV, the annual privacy policy delivery, a review of outside business activities of IARs, ongoing due diligence of third party service providers, the assessment of supervisory programs, code of ethics requirements, personal securities transactions supervisor, and compliance training.

 

December 12, 2013
$69.95

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Conducting an Annual Compliance Review
Time: 63 minutes
Description: During this webinar, RIA Compliance Consultants discuss the requirement of Rule 206(4)-7 under the Investment Advisers Act of 1940 for an investment adviser to conduct an annual compliance review of the adequacy of the investment adviser’s written compliance policies and procedures. Our consultants discuss who should be involved in the annual compliance review process and the purpose of conducting the review. We also provide tactical tips for conducting an annual compliance review and documenting findings.

 

November 14, 2013
$69.95

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Identity Theft & Third-Party Wire & Check Fraud
Time: 61 minutes
Description: During our “Identity Theft & Third-Party Wire & Check Fraud” webinar, our consultants discuss the SEC’s new rule requiring investment advisors with third-party disbursement authority to establish procedures to prevent fraudulent third-party wires and checks from customer accounts. We review not only the SEC’s new rule requirements but best practices that all investment advisors should consider to protect their clients and clients’ assets from identity theft and third-party wire fraud.

 

October 17, 2013
$69.95

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Developing and Implementing an Effective Customized Compliance Program
Time: 60 minutes
Description: During this webinar, RIA Compliance Consultants provides an overview of the requirement for an investment adviser to develop written supervisory policies and procedures pursuant to Rule 206(4)-7 under the Investment Advisers Act of 1940. Our consultants discuss the importance of and process for developing and maintaining a customized program to address the specific risks and conflicts of interest associated with each firm’s business model, outside business activities, and affiliations. Our consultants also discuss the value of ongoing monitoring and testing in addition to the annual compliance review process in order to ensure that the policies and procedures are written to reasonably prevent violations of the Investment Advisers Act of 1940 and the rules thereunder. Additionally, our consultants discuss the need to make sure that all supervised persons understand and comply with the firm’s policies and procedures in order to promote a strong compliance culture throughout the firm.

 

October 3, 2013
$69.95

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Investment Adviser Books and Records Requirements
Time: 72 minutes
Description: During this webinar, RIA Compliance Consultants review Rule 204-2 of the Investment Advisers Act of 1940 to help provide investment advisers with a better understanding of what books and records investment advisers are required to retain and for how long. Our consultants provide an overview of the types of files, documents, and reports that may be requested during a regulatory exam and discuss some of the common deficiencies related to Rule 204-2. Additionally, we provide a brief discussion on the requirement for maintaining records electronically.

 

September 19, 2013
FREE

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Custody Implications for Investment Advisers
Time: 60 minutes
Description: Does your investment adviser firm have custody? Most SEC registered investment adviser firms are considered to have custody, but many firms fail to recognize their custody status and, worse yet, some firms fail to comply with the minimum requirements for investment adviser firms with custody. This webinar will dissect the SEC’s definition of custody and analyze what triggers the additional requirements for investment adviser firms with custody. Our consultants discuss many common investment adviser practices that result in custody as defined by the SEC and answer pressing questions about the rule's impact on investment advisers. We will focus upon the deduction of advisory fees, acceptance of third-party checks from clients, trustee relationships, and other common custody situations for investment adviser firms.

 

August 15, 2013
$69.95

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Conducting a Risk Assessment/Risk Inventory
Time: 58 minutes
Description: Conducting a risk assessment/risk inventory is the first critical step involved in an investment adviser developing strong compliance policies and procedures. A review of the risk assessment/risk inventory should be done as part of an investment adviser’s assessment of it compliance policies and procedures, which is required to be done at least annually. During this webinar RIA Compliance Consultants discuss the need for and value of the risk assessment process. Our consultants provide insight regarding the process for identifying risks and the types of questions an investment adviser should ask during the risk assessment process. Additionally, we provide tips for documenting the risk assessment/risk inventory.

 

July 25, 2013
$69.95

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Social Media and Email Compliance for Investment Advisers
Time: 59 minutes
Description: During this webinar, RIA Compliance Consultants discuss the regulatory compliance requirements related to investment advisers’ use of social media websites and email. Our consultants provide guidance regarding record retention requirements and developing policies and procedures related to using social media websites and communicating with your clients via email. Additionally, we discuss the need to address the supervision and monitoring of email communication and the personal use of social media websites by investment adviser representatives.

 

June 20, 2013
$69.95

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Key Elements that Should be Included in an Investment Advisory Client Contract – Presented by Bryan Hill Law
During this webinar, securities attorney Bryan Hill will share his insights about key provisions and disclosures that should be included in an investment advisory agreement. Additionally, Mr. Hill will review state and federal regulatory requirements, common mistakes and best practices for an investment advisor to consider when preparing its client agreement. (Please note RIA Compliance Consultants is not a law firm.)

 

June 6, 2013
$69.95

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Understanding the New Identity Theft Red Flags Rules and How SEC Registered Investment Advisers are Affected
Time: 64 minutes
Description: During this webinar, RIA Compliance Consultants provides an overview of the new investment adviser requirements under the SEC’s recently released Identity Theft Red Flags Rules. One of our consultants discuss which SEC registered investment advisers are affected by the Rule, the new deadline for complying with the rule, and what an investment adviser must do in order to comply by the deadline. Additionally, we provide a summary of some of the guidelines on identity theft detection, prevention, and mitigation that are provided in the final rule release.

 

May 9, 2013
$69.95

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Learning from Other's Mistakes
Time: 71 minutes
Description: During this webinar RIA Compliance Consultants provide a summary and analysis of some recent SEC enforcement actions. Our consultants discuss the lessons that can be learned from these enforcement actions and provide guidance regarding policies and procedures an investment adviser could implement to help it avoid ending up with a similar problem.

 

April 18, 2013
$69.95

  Buy Now

Getting Your Compliance Calendar Ready for 2013
Time: 65 minutes
Description: During this webinar, RIA Compliance Consultants provide an overview of investment advisors' ongoing regulatory requirements. Our consultants provide tips for preparing a compliance calendar, checklists, and forms to assist investment advisors with meeting the annual regulatory requirements. Our consultants discuss a variety of topics, including, the Form ADV Annual Amendment filing, the annual offer or delivery of the Form ADV, the annual privacy policy delivery, review of outside business activities of IARs, ongoing due diligence of third party service providers, the assessment of supervisory programs, code of ethics requirements, personal securities transactions supervision, and compliance training.

 

December 6, 2012
$69.95

  Buy Now

Establishing Information Security Programs for Registered Investment Advisers
Time: 46 minutes
Description: During this webinar, RIA Compliance Consultants review information security as it pertains to registered investment advisers' requirement to protect confidential client information. Our consultants discuss the information security requirements under Rule 30 of Regulation S-P issued by the U.S. Securities and Exchange Commission ("SEC") and review certain key SEC enforcement actions. We also discuss the importance of establishing a written information security program designed to protect confidential client information and our consultants expand on specific information security safeguards that should be included in the written plan. Additionally, our consultants offer various best practices to meet the expectation to protect client data.

 

September 13, 2012
$69.95

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Solutions and Answers to Form U4 and Form U5 Challenges
Time: 70 minutes
Description: During this webinar RIA Compliance Consultant reviews the Form U4-Uniform Application for Securities Industry Registration or Transfer and the Form U5-Uniform Termination Notice for Securities Industry Registration. This presentation includes an overview of the information that is required to be submitted via the Form U4 and the Form U5 and a review of triggering events for submission of those forms. Additionally, our consultants provide discussion of the disclosure questions and corresponding Disclosure Reporting Pages (DRPs) and an explanation of the Investment Adviser Public Disclosure (IAPD) website.

 

August 23, 2012
$69.95

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New 408(b)(2) Disclosure Requirements Affect Investment Advisers to ERISA Plan Accounts
Time: 72 minutes
Description: During this webinar hosted by RIA Compliance Consultants and presented by our affiliated law firm Bryan Hill Attorney at Law, the Final Rule "Reasonable Contract or Arrangement Under Section 408(b)(2) Fee Disclosure" is reviewed. This final rule establishes specific disclosure obligations for plan service providers, including investment advisers, to ensure that responsible plan fiduciaries are provided the information they need to make better decisions when selecting and monitoring service providers for their plans. We provide an overview of the 408(b)(2) regulation, including a review what services providers are covered, what plans are covered, what disclosure information is required to be provided by investment advisers to plan fiduciaries, and how the disclosure information must be provided.

 

May 10, 2012
$69.95

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Maintaining Investment Advisor Books & Records
Time: 85 minutes
Description: During this webinar, RIA Compliance Consultants review Rule 204-2 of the Investment Advisors Act of 1940 to help provide investment advisors with a better understanding of what books and records investment advisors are required to retain and for how long. Our consultants do not simply review Rule 204-2, but instead provide an overview of the files, documents and reports a regulator may request during an examination of an investment advisor. Our consultants also discuss some of the common investment advisor deficiencies relating to Rule 204-2.

 

April 12, 2012
$69.95

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SEC Requirements for Performance Advertising
Time: 76 minutes
Description: During this webinar, RIA Compliance Consultants discuss the use of performance advertising by investment advisers. Our Consultants provide discussion on investment adviser advertising, including performance advertising, in relation to regulations under Section 206(4) and Rule 206(4)-1 of the Investment Advisers of 1940 ("Advisers Act."). Investment advisers are not required by law to disclose performance; however, if an investment adviser does present performance data, RIA Compliance Consultants discuss how the data must be presented in order to avoid potential regulatory violations as required by the U.S. Securities and Exchanges Commission.

 

March 15, 2012
$69.95

  Buy Now

Professional Ethics for Investment Adviser Representatives
Time: 55 minutes
Description: During this webinar RIA Compliance Consultants provides an overview of Rule 204A-1 of the Investment Advisers Act of 1940 ("Advisers Act") which requires investment adviser firm's to develop and implement a Code of Ethics. The primary focus of this webinar is to provide investment adviser representatives and associate persons of the firm with an understanding of why this rule exists and how it affects them. This webinar discusses the fiduciary duties of investment advisers as it relates to Section 206 of the Advisers Act, including details on what it means to be a fiduciary, with supplemental examples of unethical behavior. This webinar is intended to serve as an education tool designed to assist investment advisers in providing on-going ethics training to its investment adviser representatives.

 

February 9, 2012
$69.95

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Understanding and Preparing for the 'Switch' for Mid-Sized Advisors
Time: 56 minutes
Description: During this webinar, RIA Compliance Consultants discuss the rule changes and new rules affecting investment advisors with between $25 million and $100 million in assets under management ("mid-sized advisors") that were recently adopted by the Securities and Exchange Commission under the Investment Advisers Act of 1940 to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Our consultants provide an overview of the new rules and changes to existing rules and discuss timing for any new requirements under these rules. We also discuss which investment advisors will be affected by these changes and what actions these investment advisors will need to take in order to comply with the new requirements to switch from SEC to state registration.

 

December 15, 2011
FREE

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Getting Your Compliance Calendar Ready for 2012
Time: 75 minutes
Description: During this webinar, RIA Compliance Consultants provides an overview of the ongoing regulatory requirements for an investment adviser. Our consultants provide tips for preparing a compliance calendar, checklists, and forms to assist investment advisors with meeting the annual regulatory requirements. Our consultants discuss a variety of topics, including, the Form ADV Annual Amendment filing, the annual offer or delivery of the Form ADV; the annual privacy policy delivery, review of outside business activities of IARs, supervision of solicitor arrangements, the assessment of supervisory programs, update of code of ethics, the review of personal securities transactions, and compliance training.

 

December 8, 2011
$69.95

  Buy Now

2011 Review – Are You Aware of the Changes in 2011 and Is Your Investment Advisor On Track for 2012?
Time: 55 minutes
Description: 2011 was a year of changes for registered investment advisors. For most investment advisors it started with the implementation of the new Form ADV Part 2 and throughout the year, various provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act that affected investment advisors became effective. During this webinar, RIA Compliance Consultants provides a review of 2011’s regulatory changes and provides some guidance regarding issues investment advisor’s should considering as they update and prepare their compliance programs for 2012. This webinar will be good for investment advisors trying to figure out if they have managed to stay on top of everything or for those just looking for reassurance that they are on the right track.

 

November 11, 2011
$69.95

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Compliance for Social Media
Time: 73 minutes
Description: During this webinar, RIA Compliance Consultants discusses the investment advisor compliance requirements relating to the use of social media websites. One of our compliance consultants provides guidance regarding record retention and developing policies and procedures relating to social media websites. Additionally, we discuss the need to address supervision of personal use of these websites by an investment advisor’s representatives.

 

October 13, 2011
$69.95

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Basic Training for a CCO
Time: 68 minutes
Description: During this webinar, RIA Compliance Consultants discuss the requirement for each investment advisor to designate an individual to serve in the role as the Chief Compliance Officer (CCO) pursuant to Rule 206(4)-7 under the Investment Advisers Act of 1940. Our consultants discuss the role of the CCO and provide an overview of the CCO’s ongoing compliance requirements.

 

August 18, 2011
$69.95

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Updating Written Compliance Policies and Procedures
Time: 64 minutes
Desription: During this webinar, RIA Compliance Consultants discusses the need for an investment advisor to perform ongoing reviews and to periodically update its written compliance policies and procedures. Our consultants discuss how often an investment advisor should review and update its policies and procedures. We also discuss some of the key factors that an investment advisor should consider when determining if updates need to be made to its written compliance policies and procedures.

 

May 12, 2011
$69.95

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My New ADV Part 2 Is Filed - Now What?
Time: 75 minutes
Desription: During this webinar, RIA Compliance Consultants will discuss some of the additional actions that need to be taken now that you have filed the new Form ADV Part 2. One of our consultants will discuss the new requirements for delivering the ADV Part 2 to your clients. Additionally, we will discuss updates that your investment advisor may need to make to its written supervisory procedures to reflect the new ADV Part 2 and its requirements. Another key topic that will be addressed during this webinar is the change from SEC to state registration that will affect many investment advisors this year due to the upcoming change in the amount of assets under management required to be SEC registered.

 

April 19, 2011
$69.95

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Making Compliance Resolutions for 2011
Time: 61 minutes
Desription: During this webinar, RIA Compliance Consultants outlined the annual regulatory requirements for an investment adviser and provided examples of and tips about how to prepare a compliance calendar, checklists and forms for the purpose of meeting such annual regulatory requirements. In particular, we discussed IARD renewals, the Annual Amendment to the Form ADV, the annual ADV offer and delivery of the privacy policy, review of outside business activities of IARs, supervision of solicitor arrangements, the assessment of supervisory programs, update of code of ethics, the review of personal securities transactions, and compliance training.

 

December 2, 2010
$69.95

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Understanding the New ADV Part 2
Time: 70 minutes
Description:During this webinar, RIA Compliance Consultants discusses the SEC’s new Form ADV Part 2, which investment advisors are required to provide to their clients and prospective clients. Our consultants highlight the changes relating to the format, the additional disclosure requirements, and filing requirements. Additionally, we address the timeline for the implementation and filing of this document.

 

October 21, 2010
FREE

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Maintaining Required Books and Records
Time: 85 minutes
Description: During this webinar, RIA Compliance Consultants provides specific guidance on maintaining the appropriate books and records required of an investment advisor.

 

July 28, 2010
$69.95

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Addressing Outside Business Activities & Conflicts of Interest
Time: 71 minutes

 

June 24, 2010
$69.95

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Beyond Privacy Notice – Safeguarding Client Data
Time: 62 minutes
Description: During this webinar, RIA Compliance Consultants  outlined the emerging regulatory expectation that an investment adviser firm establish a written information security program designed to protect confidential client information.  In particular, we reviewed certain key SEC enforcement actions and proposed amendments by the SEC to Regulation S-P, which would require specific measures to protect confidential client information. This webinar also covered the State of Massachusetts' new privacy regulation requiring an investment adviser firm with a client residing in Massachusetts to develop, implement, maintain and monitor a comprehensive written information security program and ensure that confidential client information stored on portable devices is encrypted. Our consultant offered various best practices to meet these new expectations to protect client data. 

 

April 15, 2010
$69.95

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Impact of New Custody Rule on an RIA Operating a B-D, Qualified Custodian or Private Fund
Time: 72 minutes
Description: This webinar focuses on investment adviser firms that are or have affiliated broker-dealers or qualified custodians and investment adviser firms that own or operate pooled investment vehicles such as hedge funds, private real estate deals and other private placement securities.

 

March 25, 2010
$69.95

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Exploring the SEC's New Custody Rule
Time: 81 minutes
Description: Our webinar explores the new SEC requirements for investment adviser firms with custody. Our consultants discuss many common investment adviser practices that result in custody as defined by the SEC and answer pressing questions about the rule's impact on investment advisers. This webinar focuses upon the deduction of advisory fees, acceptance of third-party checks from clients, trustee relationships, and other common custody situations for investment adviser firms.

 

February 25, 2010
$69.95

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Preparing for an SEC Exam
Time: 65 minutes
Description: During this webinar, RIA Compliance Consultants provides listeners with practical tips for preparing an investment advisor for an SEC examination and how to avoid some of the most common deficiencies.

 

February 11, 2010
$69.95

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Filing Form 13F
Time: 67 minutes
Description: This webinar, "Filing 13F Reports was presented by Jarrod James of RIA Compliance Consultants. It is intended for registered investment adviser firms that exercised exercise discretionary authority over $100 million of Section 13(f) (generally, exchange traded or NASDAQ-quoted) securities. In addition to providing guidance about whether a security falls into the definition of a section 13(f) security and whether a registered investment adviser is required to file the Form 13F, Mr. James also discusses how to establish an EDGAR account and how to meet Form 13F instructions.

 

January 8, 2009
$69.95

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* RIA Compliance Consultants, Inc. ("RCC") is not a law firm and does not provide legal services. A compliance consulting relationship with RCC is not provided those legal and professional protections that normally exist under an attorney-client relationship. For more information, please visit our Disclosures webpage.

The determination to use a third-party compliance services provider is an important decision and should not be based solely upon advertisements or self-proclaimed expertise. A description or indication of limitation of our compliance services does not mean that an agency or board has certified RCC as a specialist or expert in investment advisor compliance. All potential clients are urged to make their own independent investigation and evaluation of RCC.

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