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
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.
During this webinar, RIA Compliance Consultants will explain 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 will 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.
Jul 19, 2017
The SEC periodically offers Compliance Outreach Program Regional Seminars for Investment Adviser and Investment Company Senior Officers. These seminars are jointly sponsored by the SEC’s Office of Compliance Inspections and Examinations, Division of Investment Management, and Division of Enforcement’s Asset Management Unit. One of these regional seminars was recently held in Chicago and the SEC provided a webcast of the day long even. RIA Compliance Consultants believes these seminars can be beneficial to learn more about the SEC’s exam priorities, what some of their key areas of focus are, what might be coming in the future, and what trends or common exam deficiencies they may be seeing. One of our senior consultants listened to the webcast and will highlight for you some of the key points she learned from the various panel discussions that were presented during the webcast. Our consultant will also try to provide you with guidance for addressing some of these issues within your investment adviser.
Jul 27, 2017
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.