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
Conducting an Annual Assessment		November 13, 2008		$59.95
Understanding the Proposed New Form ADV 2		November 19, 2008		FREE
Making Compliance Resolutions for 2009 – Creating Annual Compliance Calendar & Checklist		December 2, 2008		$59.95
Avoiding an SEC Enforcement Action for Violating Regulation S-P		December 11, 2008		FREE*
Filing 13F Reports		January 8, 2009		$59.95
Preparing the Form ADV Part 1 Annual Amendment		January 15, 2009		$59.95
Approving Marketing Materials & Performance Advertising		February 11, 2009		$59.95
Selecting & Starting an Entity for a New RIA		February 25, 2009		FREE*
Preparing for an SEC Examination		March 11, 2009		$59.95
Updating & Implementing Your Code of Ethics		April 22, 2009		$59.95
Enforcing Non-Solicit & Trade Secrets Agreements		April 28, 2009		FREE*
Developing Written Supervisory Procedures		May 13, 2009		$59.95
Creating an Effective Investment Advisory Agreement		June 3, 2009		FREE*
Addressing Outside Business Activities & Conflicts of Interest		June 10, 2009		$59.95
Maintaining Required Books & Records		July 23, 2009		$59.95
Establishing & Supervising Solicitor Arrangements		August 19, 2009		$59.95
Planning for Succession		September 9, 2009		FREE*
Developing a Disaster Recovery Plan		October 14, 2009		$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. Sessions may be purchased individually or as a package. If you purchase a package of six (6) sessions, you will receive a 10% discount. If you purchase a package of twelve (12) sessions or more, you will receive a 20% discount.

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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