Previously Recorded Webinars

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

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

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.

May 15, 2013
FREE

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

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

Preparing for a Regulatory Exam
Time: 74 minutes
Description:During this webinar, RIA Compliance Consultants discuss changes that have taken place over the past couple years that have affected investment adviser regulatory examinations. Our consultants provide an overview of the regulatory examination process and tips on steps a registered investment adviser can take to make sure that they are ready for a regulatory examination at all times. Our consultants discuss the different types of examinations including the SEC’s new “Presence Exams” for certain newly registered investment advisers; what information and documentation may be requested during a regulatory examination; and some of the common regulatory deficiencies found during the examination process.

March 21, 2013
FREE

Understanding the Role of the Chief Compliance Officer (CCO)
Time: 64 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 Chief Compliance Officer (CCO) pursuant to Rule 206(4)-7 under the Investment Advisers Act of 1940. One of our senior compliance consultants discuss 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. We also provide an overview of the ongoing compliance requirements that must be administered by the CCO.

February 21, 2013
$69.95

Preparing your Form ADV Annual Amendment
Time: 73 minutes
Description: During this webinar, RIA Compliance Consultants review the Form ADV items that are required to be updated on an annual basis. Our consultants discuss some of the common mistakes we see when investment advisors are filing their annual amendment. Additionally, our consultants address some of the other amendments and filings that may need to be made with your annual amendment.

January 10, 2013
$69.95

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

Conducting an Annual Compliance Review
Time: 73 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 advisor to conduct an annual review of the adequacy of the investment advisor'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 focus on providing tactical tips for conducting an annual compliance review and for documenting findings.

November 11, 2012
FREE

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

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

Conducting Service Provider Compliance Due Diligence Reviews
Time: 70 minutes
Description: Section 206 of the Investment Advisers Act of 1940 imposes a fiduciary duty on all investment advisers. There are many requirements that fall on an investment adviser because of its fiduciary role with its clients. One of these many requirements is to conduct a reasonable investigation concerning any third-parties that provide services to the investment adviser, especially client-related services. During this webinar, RIA Compliance Consultants discuss how investment advisers can meet their fiduciary duty by developing a due diligence review process when selecting third-party service providers hired by the firm. Our consultants provide advice on what items should be covered during an initial due diligence review and discuss what should be included in follow-up reviews.

July 12, 2012
$69.95

Approving Marketing Materials
Time: 46 minutes
Description: During this webinar, RIA Compliance Consultants review SEC rules, no-action letters and enforcement actions related to marketing materials used by investment advisors. Our consultants 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 consultants explain the SE'’s requirements in order to show model or actual investment performance in advertising and marketing materials.

June 14, 2012
$69.95

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

June 24, 2010
$69.95

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
$69.95

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
$69.95

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
$69.95

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
$69.95

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
$69.95

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
$69.95

* 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.

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.