This page will contain the recording and presentation slides from RIA Compliance Consultants’ 2021 RIA Compliance Connection Conference, starting on August 25.
If you need assistance at any time during the conference please email email@example.com
New/Basic CCO Training – New/Basic CCO Training
Best Execution – Best Execution
Disaster Recovery and Working Remotely & Succession Planning – Business Continuity Plan
Compliance Programs – How to Ensure Yours is Strong – Strong Compliance Program
ESG Investing – ESG Investing – Compliance
Transaction Account Supervision – Transaction Account Supervision and Investment Committees
All times Central.
10:30 to 11:20 AM – Session 1: Conflicts of Interest – Conflicts of Interest
11:25 AM to 12:15 PM – Session: 2 SEC’s New marketing Rule – SEC New Marketing Rule
12:30 to 1:20 PM – Session 3: Cybersecurity – Cybersecurity Panel
1:25 to 2:15 PM– Session 4: RIA Standard of Conduct/Care – Standard of Conduct
RIA Compliance Consultants is committed to providing a welcoming, harassment-free 2021 RIA Compliance Connection for everyone, regardless of gender, sexual orientation, disability, physical appearance, age, race, ethnicity, or religious beliefs.
By participating in the 2021 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 2021 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 firstname.lastname@example.org. Please, report anyone who has violated this Code of Conduct. If you have been made uncomfortable someone else has been made uncomfortable.