Previously Recorded Webinars

Webinar

Recording Date/
Cost

Preparing your Form ADV Annual Amendment
Time: 70 minutes
Description: During this webinar, RIA Compliance Consultants reviews the Form ADV items that are required to be updated on an annual basis. Our consultants also discuss some of the common mistakes we see when investment advisors are filing their annual amendment. Additionally, our consultants also address some of the other amendments and filings that may need to be made with your annual amendment, including those resulting from the recent SEC revisions to the Form ADV.

January 12, 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

Nuts & Bolts of Registering an Investment Advisor
Time: 63 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.

November 16, 2011
FREE

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

Preparing for a Regulatory Exam
Time: 65 minutes
Description: During this webinar, RIA Compliance Consultants provide an overview of the regulatory examination process. Our consultants discuss the different types of examinations; the information and documentation that will likely be requested during an examination; and some of the common regulatory deficiencies found during the examination process. Our consultants also provide you with some general guidance and tips for preparing for and getting through the examination.

September 15, 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

Maintaining Investment Advisor Books & Records
Time: 72 minutes
Description: During this webinar, RIA Compliance Consultants reviews 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.

July 14, 2011
$69.95

Conducting an Annual Compliance Review
Time: 71 minutes
Description: During this webinar, RIA Compliance Consultants discusses the requirement under the Investment Advisers Act of 1940 and similar state regulations for an investment advisor to conduct an annual review of its written compliance policies and procedures. One of our consultants discuss who should be involved in the annual compliance review process and the purpose of conducting the review. This webinar also focus on providing tactical tips for conducting an annual compliance review and for documenting findings.

June 16, 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

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
$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

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
$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.