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Recorded Webinar: 2023 Investment Adviser Exam Priorities – 2/23/2023

Date Recorded: February 23, 2023

Time: 72 minutes

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2023 Investment Adviser Exam Priorities – 2/23/2023

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During this webinar, Bryan Hill, President of RIA Compliance Consultants, reviews the SEC’s published examination priorities for 2023 and also discusses NASAA’s examination sweep results for state registered investment advisers. Bryan provides specific best practices that investment advisers should consider adopting in light of regulatory examination and enforcement trends. Included with Annual Compliance Program Packages and Webinar Package annual subscription. Purchase a la carte here:

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