Investment Adviser Compliance Training for 2020

February 20, 2020

On Thursday, February 20, 2020, RIA Compliance Consultants will is hosting an investment adviser compliance training webinar, “Common Questions for RCC Consultants.”  During this webinar our Senior Compliance Consultants will share the most common compliance questions they receive from investment adviser clients during the past calendar quarter. Our consultants will then discuss how they have addressed these questions and will offer best investment adviser compliance practices, tips and tricks.  Click here to purchase a seat for this compliance webinar.

We are also excited to announce our online investment adviser compliance training and continuing education (via webinar) schedule for 2020. Our compliance training schedule will tentatively include the following:

  • Thursday, March 19 – Fee Billing Audit
  • Wednesday, April 8 – Expungement of Client Complaints
  • Thursday, April 23 – Form ADV Part 3
  • Wednesday, May 13 – Conflicts of Interest
  • Thursday, June 18 – Soft Dollars Arrangements
  • Thursday, July 23 – Bringing on Investment Adviser Reps
  • Thursday, Sept. 24 – Private Funds
  • Thursday, Oct. 22 – New Advertising Rule
  • Thursday, Nov. 19 – Solicitor Arrangements
  • Thursday, Dec. 17 – The Year in Review with RCC Consultants

Registration for all of the forgoing webinars is not yet available as the topics and dates are subject to change at the discretion of RIA Compliance Consultants.

We hope that you take advantage of these educational opportunities!

Posted by Bryan Hill
Labels: Compliance Training, Investment Adviser Rep Continuing Education