Conference – RIA Compliance Connection 2022

August 24 & 25, 2022

Join RIA Compliance Consultants on Wednesday, August 24 and Thursday, August 25, 2022 for our Investment Adviser Compliance Conference.

We are happy to announce that we are offering the option of in-person attendance, in addition to virtual attendance via Zoom.us.

On Wednesday we will host pre-conference breakout sessions structured to promote peer-to-peer networking and sharing. This pre-conference day will only be open to in-persona attendees. On Thursday we will host a full-day conference with informative presentations by our compliance experts.

Who attends?

Conference attendees have included:

  • Chief Compliance Officers /General Counsels
  • Managing Directors /Operations Officers
  • Leaders of State & SEC Registered RIAs
  • Tentative Agenda

  • Registration
  • Conference Sponsors

    • Unitifi Financial Behavior

       

       

       

       

       

       

       

  • Code of Conduct

    • RIA Compliance Consultants is committed to providing a welcoming, harassment-free 2022 RIA Compliance Connection for everyone, regardless of gender, sexual orientation, disability, physical appearance, age, race, ethnicity, or religious beliefs.

      By participating in the 2022 RIA Compliance Connection Conference, all attendees, speakers, sponsors, Strategic Alliance Members, and Strategic Providers, and staff must abide by the following Code of Conduct. This Code of Conduct applies to all 2022 RIA Compliance Connection, sessions, social events, and online activity, and outlines our expectations for participant behavior, as well as the consequences for unacceptable behavior.

      1. Respect others.

      Demeaning, discriminatory, intimidating, harassing or abusive or harassing behavior and speech will not be tolerated. Harassment may include but is not limited to: offensive verbal, written or electronic comments related to gender, sexual orientation, race, religion, disability; nudity and/or sexual images in public spaces (including presentation slides); deliberate intimidation, stalking, or following; harassing, photography, or recording; sustained disruption of sessions, talks, or other events; inappropriate physical contact, and sexual attention.

      2. Be Truthful, Forthright and Authentic

      Attendees are required to register with their true name and identity, without mimicking the likeness of anyone other than themselves. Login information must not be shared or used for attendees other than the original registrant.

      Any attendee, RCC employee, speaker, sponsor, Strategic Alliance Member or Strategic Provider who does not abide by this Code of Conduct may be asked to leave the conference at the discretion of the event organizers. In the case that an attendee is expelled, refunds will not be granted.

      How to report a violation.

      If you become aware of this Code of Conduct being violated in any way, or have other concerns, please contact a RIA Compliance Consultants employee or email bizdevteam@ria-compliance-consultants.com. Please, report anyone who has violated this Code of Conduct. If you have been made uncomfortable someone else has been made uncomfortable.