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
Time: Our investment adviser compliance webinars are generally scheduled to last one-hour from 12:00 p.m. to 1:00 p.m. Central Time 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 $69.95 per session and non-refundable.
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®.
Call RIA Compliance Consultants at 877-345-4034 to register for our investment adviser compliance webinar.
*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.