Last Week for Save the Date Pricing & Tentative Agenda Now Available for Our 2023 Investment Adviser Compliance Conference

March 29, 2023

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Save-the-Date Pricing for our 2023 Investment Adviser Compliance Conference ends this Friday, March 31.

Act now to receive $100 off the registration fee – this is the largest discount we will be offering! Just like last year, we are hosting a live conference in Omaha, Nebraska, but virtual attendance is also an option.

Additionally, we have released our tentative agenda. Topics include:

Wednesday, August 23, 2023

Day One Sessions (In-Person Attendance Only)

  • Takeaways from Recent Regulatory Examinations & Enforcement Actions*
  • First Consultant Led Group Discussion Session
  • Second Consultant Led Group Discussion Session

Thursday, August 24, 2023

Day Two Sessions

  • Fiduciary Basics When Providing On-Going Investment Advice – What Every Investment Adviser Needs to Know*
  • Testimonials & Endorsements – Lessons to be Learned for Implementing Effective Policies & Procedures*
  • Due Diligence of Service Providers – Why it May No Longer Be Just a Best Practice*
  • Investment Adviser Custody and Potential Changes Under the SEC’s Proposed Safeguarding Rule*
  • Compliance Challenges in the Digital Age: Implementing Effective Procedures*
  • Q&A Panel with our Senior Compliance Consultants

View Full Tentative Agenda

Register for In-Person Attendance for $495 $395

Register for Virtual Attendance for $295 $195


*The six indicated sessions will be submitted to NASAA for Investment Adviser Representative Continuing Education (IAR CE) credit, with each intended to provided one credit hour. However, at this time IAR CE credits have neither been applied for nor approved.

Posted by RCC
Labels: Conference