Join RIA Compliance Consultants virtually on Wednesday, August 25 and Thursday, August 26 through Zoom for our 2021 RIA Compliance Connection Investment Adviser Compliance Conference. Don’t miss this opportunity to learn from and connect with industry experts and engage with like-minded peers all in the name of the best interest of your clients.
10. You might win an award
This year RIA Compliance Consultants will select and recognize a Compliance Professional of the Year and award up to 3 scholarships to undergraduate or graduate students for the purposes of attending our conference. We are now accepting nominations for the Compliance Person of the Year. Click here to view the nomination form. Click here to view the scholarship application.
9. You don’t even have to leave your desk!
You can watch our LiveStream broadcast via Zoom from the comfort of your desk for both days of the conference. As an online attendee, you will also be able to ask questions and participate in the breakout sessions. Click here to register.
8. You’ve got questions, we’ve got answers
Whether you’re a new CCO or a seasoned veteran, you probably have some questions about your compliance program. Ask our consultants! During sessions, in between presentations, during registration, it doesn’t matter. If you have questions for us we’ll have answers for you.
7. Cost-effective registration
We are sensitive to your budgetary constraints and continue to maintain our low registration fees. If you purchase your seat before June 4, 2021 a discount of $50 will automatically be applied to your purchase. Click here to reserve your spot!
6. Discover new products and services
RIA Compliance Consultants will have a separate breakout Zoom Room at this year’s conference where you can talk to our Strategic Alliance Members and get live product demonstrations.
5. Network with peers
Our speakers aren’t the only people you’ll learn from. Connect with representatives from other investment adviser firms who face the same challenges you do – bounce ideas off each other, see where you stand compared to others, form new relationships, and maybe even make a few friends!
4. Compliance People have to stick together!
Anyone who has ever worked in compliance understands that compliance professionals play a critical role that is often overlooked. Our conference puts compliance front and center and can help you become a more knowledgeable compliance professional.
3. Expand your knowledge
Learn from our compliance experts about State and SEC regulatory examinations, enforcement actions, and new requirements like the SEC’s new Marketing Rule.
2. 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.
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 2021 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