Join RIA Compliance Consultants on Wednesday, September 11 and Thursday, September 12 at the Scott Conference Center in Omaha, NE. Don’t miss this opportunity to learn from industry experts, engage with like-minded peers, and connect with the top leaders in the industry all in the name of the best interest of your clients. Need more convincing?
10. Flying to Omaha is still Cheap!
You can book non-stop, round trip flights to Omaha for under $350 from:
9. No time to travel? You don’t even have to leave your desk!
This year, RIA Compliance Consultants is excited to offer two attendance options. You can either choose to join us and fellow investment adviser compliance professionals in Omaha, NE on Sept. 11 and 12 or you can watch our LiveStream broadcast from the comfort of your desk on Sept. 12. Click here register for the LiveStream of Day 2 of our conference.
8. You’ve got questions, we’ve got answers
Whether you’re a new CCO or a seasoned veteran, you probably have some questions about your compliance program. Ask our consultants! During sessions, in between presentations, during the cocktail hour, or in the exhibit hall, it doesn’t matter. If you have questions for us we’ll have answers for you.
7. Cost-effective registration
We are sensitive to your budgetary constraints and continue to maintain our low registration fees. Book your accommodations through our hotel room block to take advantage of savings and maximize your networking experience.
6. Discover new products and services
RIA Compliance Consultants is proud to include an exhibit hall at this year’s conference where we will feature vendors who are available to answer your questions and give live demonstrations.
5. Network with peers
Our speakers aren’t the only people you’ll learn from. Connect with representatives from other investment adviser firms who face the same challenges you do – bounce ideas off each other, see where you stand compared to others, form new relationships, and maybe even make a few friends!
4. Create your own agenda
With breakout sessions on Day 1 and peer groups on Day 2, you’ll have the ability to design your own personalized conference experience. Click here for the complete list of sessions.
3. Expand your knowledge
Learn from our compliance experts about State and SEC regulatory examinations, enforcement actions, and new requirements like the Form CRS Relationship Summary/ADV Part 3.
2. Hear from the experts on industry hot topics
You’ll have the opportunity to hear compliance professionals discuss industry hot topics during panel discussions and lecture sessions as well as participate in peer groups to learn more about best practices and how peers are facing the challenges these issues present.
1. It’s not for you, it’s for your clients
As an investment adviser representative you have a fiduciary duty to your clients and must always act in their best interest. Our 2019 Investment Adviser Compliance Conference is designed to help make you aware of how you can effectively execute a compliance program to help you do what is right for your clients.RIA Compliance Consultants, Inc. is a full-service consulting firm providing registration and compliance services for registered investment advisors.
We provide a full set of compliance services for existing registered investment advisors. These investment advisor compliance services include: Form ADV; client brochure; wrap brochure; solicitor arrangements; investment advisor registration renewals and Form ADV annual amendment; IARD service bureau; code of ethics and supervisory procedures; privacy policies and procedures; advertising review; compliance training; annual review and assessment of your compliance program; and mock regulatory exams.
Most registered investment advisor firms (also known as “registered investment advisers” or “RIAs”) want to provide the best possible investment advice and advisory services to their clients, which includes meeting and exceeding their regulatory and fiduciary duties. However, this has become a challenge for even the most well-intentioned investment advisor applicants or existing registered investment advisors due to the more demanding expectations and obligations imposed by the United States Securities and Exchange Commission (“SEC”) and state securities regulators.
Comprised of experienced compliance professionals from the securities industry, RIA Compliance Consultants is an investment advisor compliance consulting firm that brings to bear a wealth of experience to be your expert, on duty and on call to help you navigate the maze of compliance issues facing your registered investment advisor firm.
For new investment advisor applicants, RIA Compliance Consultants offers a turn-key registration service. Our compliance consultants can serve as your guide by explaining in detail the registration process and requirements, assisting you in structuring your firm’s investment advisory programs, preparing your investment advisor registration.
RIA Compliance Consultants can help your investment advisor firm keep pace with this rapidly changing compliance environment. We can collaborate with your investment advisor firm to identify regulatory challenges and then work with your investment advisory firm’s managing principal and chief compliance officer to build and implement practical solutions designed to meet your firm’s regulatory responsibilities as a registered investment advisor.
Utilize our expertise to leverage your time while growing your new business.