To access this content, you must purchase Bronze Package – Annual Compliance Program – 3 Months’ Payments – Riddick & Co, Bronze+ Package – Annual Compliance Program – 12 Monthly Installment Payments, Silver Package – Annual Compliance Program – Annual Payments, Silver Package – Annual Compliance Program – Annual Payments (Renewal), Gold Package (10 Hours) – Annual Compliance Program – Annual Payments (Engagement Separate), Gold Package (10 Hours) – Annual Compliance Program – 12 Monthly Installment Payments, Gold+ Package – Annual Compliance Program – 12 Monthly Installment Payments, Gold Package (Renewal) – Annual Compliance Program – Annual Payments or Gold+ Package – Annual Compliance Program – 12 Monthly Installment Payments (Engagement Executed Separately).

To access this content, you must purchase Bronze Package – Annual Compliance Program – 3 Months’ Payments – Riddick & Co, Bronze+ Package – Annual Compliance Program – 12 Monthly Installment Payments, Silver Package – Annual Compliance Program – Annual Payments, Silver Package – Annual Compliance Program – Annual Payments (Renewal), Gold Package (10 Hours) – Annual Compliance Program – Annual Payments (Engagement Separate), Gold Package (10 Hours) – Annual Compliance Program – 12 Monthly Installment Payments, Gold+ Package – Annual Compliance Program – 12 Monthly Installment Payments, Gold Package (Renewal) – Annual Compliance Program – Annual Payments or Gold+ Package – Annual Compliance Program – 12 Monthly Installment Payments (Engagement Executed Separately).

To access this content, you must purchase Bronze Package – Annual Compliance Program – 3 Months’ Payments – Riddick & Co, Bronze+ Package – Annual Compliance Program – 12 Monthly Installment Payments, Silver Package – Annual Compliance Program – Annual Payments, Silver Package – Annual Compliance Program – Annual Payments (Renewal), Gold Package (10 Hours) – Annual Compliance Program – Annual Payments (Engagement Separate), Gold Package (10 Hours) – Annual Compliance Program – 12 Monthly Installment Payments, Gold+ Package – Annual Compliance Program – 12 Monthly Installment Payments, Gold Package (Renewal) – Annual Compliance Program – Annual Payments or Gold+ Package – Annual Compliance Program – 12 Monthly Installment Payments (Engagement Executed Separately).

To access this content, you must purchase Preparing for the SEC’s New Private Fund Adviser Regulations, Riding the Regulatory Wave: Navigating the Potential 2024 Surge for SEC Registered Investment Advisers, Investment Adviser Exam Deficiencies in 2023 & Exam Priorities for 2024, 2023 Year-End Review of Investment Adviser Compliance Trends & Best Practices, Duty of Care When Providing Investment Advice, Navigating Unethical Acts and Code of Ethics Obligations of Investment Adviser Representatives or Mastering Annual Compliance Reviews for Investment Adviser Firms.

This content is only available to members.

To access this content, you must purchase Bronze Package – Annual Compliance Program – 3 Months’ Payments – Riddick & Co, Bronze+ Package – Annual Compliance Program – 12 Monthly Installment Payments, Silver Package – Annual Compliance Program – Annual Payments, Silver Package – Annual Compliance Program – Annual Payments (Renewal), Gold Package (10 Hours) – Annual Compliance Program – Annual Payments (Engagement Separate), Gold Package (10 Hours) – Annual Compliance Program – 12 Monthly Installment Payments, Gold+ Package – Annual Compliance Program – 12 Monthly Installment Payments, Gold Package (Renewal) – Annual Compliance Program – Annual Payments, Gold+ Package – Annual Compliance Program – 12 Monthly Installment Payments (Engagement Executed Separately) or Dissecting the SEC’s Enforcement Action Against an Investment Adviser Recommending Fixed Indexed Annuities.

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: https://www.ria-compliance-consultants.com/product/2023-investment-adviser-exam-priorities/?inf_contact_key=ac80e0f76c60183a672550a1766ec26a680f8914173f9191b1c0223e68310bb1

During this CCO Basic Training webinar, Bryan Hill, president of RIA Compliance Consultants, discusses the requirement for each investment adviser to designate an individual to serve in the role as the Chief Compliance Officer (CCO) pursuant to Rule 206(4)-7 under the Investment Advisers Act of 1940. He discusses the role of the CCO and provides an overview of the CCO’s ongoing compliance requirements.
Included with Value, Bronze, Silver, Gold, Platinum & Titanium packages. Don’t have access? Purchase here.

To access this content, you must purchase Bronze Package – Annual Compliance Program – 3 Months’ Payments – Riddick & Co, Bronze+ Package – Annual Compliance Program – 12 Monthly Installment Payments, Silver Package – Annual Compliance Program – Annual Payments, Silver Package – Annual Compliance Program – Annual Payments (Renewal), Gold Package (10 Hours) – Annual Compliance Program – Annual Payments (Engagement Separate), Gold Package (10 Hours) – Annual Compliance Program – 12 Monthly Installment Payments, Gold+ Package – Annual Compliance Program – 12 Monthly Installment Payments, Gold Package (Renewal) – Annual Compliance Program – Annual Payments or Gold+ Package – Annual Compliance Program – 12 Monthly Installment Payments (Engagement Executed Separately).

To access this content, you must purchase Bronze Package – Annual Compliance Program – 3 Months’ Payments – Riddick & Co, Bronze+ Package – Annual Compliance Program – 12 Monthly Installment Payments, Silver Package – Annual Compliance Program – Annual Payments, Silver Package – Annual Compliance Program – Annual Payments (Renewal), Gold Package (10 Hours) – Annual Compliance Program – Annual Payments (Engagement Separate), Gold Package (10 Hours) – Annual Compliance Program – 12 Monthly Installment Payments, Gold+ Package – Annual Compliance Program – 12 Monthly Installment Payments, Gold Package (Renewal) – Annual Compliance Program – Annual Payments, Gold+ Package – Annual Compliance Program – 12 Monthly Installment Payments (Engagement Executed Separately) or Preparing for Compliance with SEC’s New Marketing Rule.