Join RIA Compliance Consultants on Wednesday, August 26 and Thursday, August 27 for our RIA Compliance Connection 2020 virtual conference. 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. Network with peers from the safety of your own desk!
We’ve all faced the challenges of not being able to connect with other people this year. Our virtual conference gives you the opportunity to branch out to meet fellow compliance professionals. You can talk with representatives from other investment adviser firms who face the same challenges you do – bounce ideas off each other, form new relationships, and maybe even make a few friends!
9. You’ve got questions, we’ve got answers
Whether you’re new to compliance or a seasoned veteran, you probably have some questions about your compliance program. Ask our consultants! During sessions and in between presentations, there will be opportunities for our consultants and staff to answer your questions.
8. Cost-effective registration
We are sensitive to your budgetary constraints and continue to maintain our low registration fees. The price of registration for our Annual Compliance Program Package (ACPP) clients is just $95 per attendee. The registration price for non-ACPP attendees is $395. Click here to register.
7. Discover new products and services
RIA Compliance Consultants is proud to have representatives from Bridge Financial Technology, Unitifi -Financial Behavior Defined, Lockton Affinity, MobileAssistant, and SmartRIA attend our conference. Each representative will host a “Zoom Room” where you can learn more about their services and receive special discounts.
6. 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.
5. 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.
4. You can share your unique insights
We are offering free attendance for those of our clients who will speak as part of our conference panel discussions. If you are interested in speaking as a panelist please respond to this email with what agenda topic you would be willing to speak on. Click here to view the agenda.
3. It will be recorded
We will record ever conference presentation so if you have to duck out for a bit or if you want to re-watch a session you can!
2. You could win an award!
We will award a Compliance Professional of the Year at this year’s virtual conference. The winner will receive a $500 donation from RCC to a charity of their choosing, a commemorative plaque, recognition in front of the conference, and their attendance fee will be refunded.
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.
Posted by Grant Parr