Recorded Webinar – Best Practices to Reduce the Risk of Arbitration and Litigation

October 07, 2020

Reading time : 2 minutes

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:

  1. Trends being seen in arbitrations and litigations.
  2. Measures RIAs can take to mitigate the risks of arbitration and litigation.
  3. When is it possible to avoid arbitration and litigation all together?
  4. E&O insurance – What is it, why do RIAs need it, how much does it cost?
  5. How can RIAs improve communication with clients.

Please note that RIA Compliance Consultants, Inc. is not a law firm and does not serve as an attorney.  This webinar is offered only for educational purposes.  Listening to this webinar should not be considered legal advice or an engagement with the sponsor or any of the panelists.  For additional details, please view the video of “Important Disclosure Information About this Webinar” linked above and visit our Disclosures webpage.

Special thanks to our panelists from:Lockton Affinity

Unitifi Financial Behavior

Posted by RCC
Labels: Arbitration, Uncategorized