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Upcoming Webinar

Upcoming Webinar

How an Investment Adviser Can Create & Maintain a Strong Culture of Compliance

12:00 – 1:00 PM CDT
Thursday, March 21, 2019

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For More Information

To learn more about our services and products or to set up a time to speak with one of our Compliance Consultants call:

(877) 345-4034

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*RIA Compliance Consultants, Inc. (“RCC”) is not a law firm and does not provide legal services. A compliance consulting relationship with RCC is not provided those legal and professional protections that normally exist under an attorney-client relationship. For more information, please visit our Disclosures webpage.

The determination to use a third-party compliance services provider is an important decision and should not be based solely upon advertisements or self-proclaimed expertise. A description or indication of limitation of our compliance services does not mean that an agency or board has certified RCC as a specialist or expert in investment advisor compliance. All potential clients are urged to make their own independent investigation and evaluation of RCC.

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