Investment Adviser Compliance 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.

Calendar of Our Upcoming Webinars

Webinar		Date		Cost
Professional Ethics for Investment Adviser Reps		March 11, 2010		$59.95
The Process and Challeges of Registering as an Investment Advisor		March 17, 2010		FREE
Impact of New Custody Rule on an RIA Operating a B-D, Qualified Custodian or Private Fund		March 25, 2010		$59.95
Beyond Privacy Notice		April 8, 2010		$59.95
Approving Marketing Materials		May 13, 2010		$59.95

Time: Our investment adviser compliance webinars are generally scheduled to last one-hour from 12:00 p.m. to 1:00 p.m. Central Standard Time (“CST”) on the topics and dates listed above.

Fee: Depending upon the compliance topic, the webinar may be offered upon a fee or complimentary basis. For a webinar subject to a charge by RIA Compliance Consultants, the fee is $59.95 per session.

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®.

Continuing Education Credits: Certain webinar sessions will be eligible for continuing education credits of certain professional organizations. Please review the description of the webinar session or contact RIA Compliance Consultants at 877-345-4034 for more details.

*This is a complimentary webinar that will be presented by our affiliated law firm. Although RIA Compliance Consultants is affiliated with a law firm, RIA Compliance Consultants is not a law firm and does not provide legal services. Please note that a compliance consulting relationship with RIA Compliance Consultants is not provided those legal and professional protections that normally exist under an attorney-client relationship. For more information, please visit our Disclosures webpage.

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