Previously Recorded Webinars

Webinar

Recording Date/
Cost

Understanding the New ADV Part 2
Time: 83 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.

August 19, 2010
FREE

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
$59.95

Nuts & Bolts of Registering an Investment Advisor
Time: 82 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 21, 2010
FREE

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

June 24, 2010
$59.95

Approving Marketing Materials
Time: 78 minutes
Description: During this webinar, RIA Compliance Consultants reviews SEC rules, no-action letters and enforcement actions related to marketing materials used by investment advisors. We will discuss examples of prohibited promises, guarantees and untrue statements. Our consultants discuss best practices and sample disclosures related to client testimonials, client references, third-party rankings, top advisor lists, news article reprints and past investment recommendations. This webinar includes guidance about the regulatory considerations when an investment advisor uses a professional designation or social networking sites. Finally, our consultant explains the SEC’s requirements in order to show model or actual investment performance in advertising and marketing materials.

May 13, 2010
$59.95

Basic Training for a CCO of an Investment Adviser
Time: 65 minutes
Description: This training focuses on the role and responsibilities of being a CCO for the typical investment advisor.

April 30, 2010
$59.95

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
$59.95

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
$59.95

Professional Ethics for Investment Adviser Reps
Time: 58 minutes
Description: During this webinar investment advisor representatives will be given an overview and general understanding of Rule 204A-1 of the Investment Advisers Act of 1940 (“Advisers Act”), which requires firms to develop and implement a Code of Ethics. However, the primary focus of this webinar is not to train the investment advisor firm on the requirements of Rule 204A-1 but rather to give the associate persons an understanding of why this rule exists and how it effects them. This webinar will review Section 206 of the Advisers Act, which imposes a fiduciary duty on investment advisors. It will provide details on what it means to be fiduciary and then provide examples of unethical behavior. This webinar is designed as a tool to assist investment advisors in providing on-going ethics training to its investment advisor representatives.

March 11, 2010
$59.95

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
$59.95

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
$59.95

Conducting an Annual Compliance Review
Time: 65 minutes
Description: This webinar was presented by Jarrod James of RIA Compliance Consultants. The intended audience of this webinar is for the chief compliance officer or other party responsible for conducting a compliance review under the Investment Advisers Act of 1940 for a federally registered investment adviser. During this webinar, Mr. James discusses SEC Rule 206(4)-7 and the written policies and procedures and chief compliance officer requirements. This webinar focuses upon the tactical tips for conducting an annual review and how to document findings.

November 11, 2009
$59.95

Establishing & Supervising Solicitor Arrangements
Time: 85 minutes
Description: Does your investment adviser firm act as a solicitor for another investment adviser or third-parties as solicitors of your investment advisory services? If so, please take this opportunity to learn more about the requirements of SEC's solicitor rule by purchasing our webinar, "Establishing & Supervising Solicitor Arrangements." During this webinar, our consultants review in detail the requirements of SEC Rule 206(4)-3, the registraion requirements of certain states and best supervisory practices for an investment adviser utilizing solicitors.

August 19, 2009
$59.95

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
$59.95

* 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.