What’s New From RIA Compliance Consultants – March 2021

March 31, 2021


Reading time : 2 minutes

March 2021

2021 Virtual Conference

Recent Blog Posts

Upcoming Webinars

New Sample Forms

Video Transcript

Welcome to RCC in 60, where we share what’s new from RIA Compliance Consultants in 60 seconds or less. On March 4th, 2021 RIA Compliance Consultants hosted a compliance training webinar about the 2021 SEC exam priorities. If you weren’t able to attend this session, a live recording has been made available in your online subscription account. RIA Compliance Consultants will host another compliance training webinar in April. That webinar topic will be “Licensing IRAs Under New York’s New Requirements.” Click the link on this screen to register for that webinar.

We’ve recently added a new sample forms to our sample forms library. These forms include “Investment Advisor Representative – Continuing Education – Tracking Spreadsheets;” “Suitability – Leveraged/Inverse ETFs – Client Acknowledgment.” If you subscribe to one of our annual compliance program packages, these sample forms are available in your online subscription account. They can also be purchased à la carte by clicking the links on this screen.

RIA Compliance Consultant has added new content to our blog. Some of that content includes “SEC Updates Form ADV Part 3/CRS FAQs for Investment Advisers;” “SEC is Focusing on ESG Investing by RIAs” click the links on this screen to view those blog posts.

We are excited to announce that registration for our 2021 RIA Compliance Connection Compliance Conference is now open. Our conference will take place virtually through Zoom on Wednesday, August 25 and Thursday, August 26, and although there won’t be any in-person attendance this year, there will be no shortage of opportunities to interact with peers and other compliance professionals. If you sign up before June 4th, you will be entitled to an early bird discount. Click the link on this screen to register for the conference or just to learn more. We look forward to seeing you virtually in August. That’s been RCC in 60, we’ll see you next time.

Posted by Grant Parr
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