Best Practices to Reduce the Risk of Arbitration and Litigation
Important Disclosure Information About This Webinar
On Thursday, October 22, 2020, RIA Compliance Consultants, Inc. hosted a compliance training webinar entitled, “Best Practices to Reduce the Risk of Arbitration and Litigation.” RCC hosted this webinar with representatives from Unitifi and Lockton Affinity Patrick Griffin, an attorney from Kutak Rock, also served as a panelist during this discussion. Topics covered during this webinar were:
- Trends being seen in arbitrations and litigations.
- Measures RIAs can take to mitigate the risks of arbitration and litigation.
- Is it possible to avoid arbitration and litigation all together?
- E&O insurance – What is it, why do RIAs need it, how much does it cost?
- Arbitration issues often come from a breakdown in communication between the client and advisor. How can RIAs improve that communication.
Special thanks to our panelists from: