Archives

Documenting an Investment Adviser’s Annual Compliance Review – 4/25/2024

May 03, 2024

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Duty of Care When Providing Investment Advice – 1/25/2024

January 29, 2024

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Investment Adviser Exam Deficiencies in 2023 and Exam Priorities in 2024 – 11/30/2023

December 05, 2023

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Riding the Regulatory Wave

October 26, 2023

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Preparing for the SEC’s New Private Fund Adviser Regulations – 9/28/2023

October 04, 2023

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Dissecting the SEC’s Enforcement Action Against an Investment Adviser Recommending Fixed Indexed Annuities – 4/27/2023

May 02, 2023

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2023 Investment Adviser Exam Priorities – 2/23/2023

February 27, 2023

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

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CCO Basic Training – 2/2/2023

February 06, 2023

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.

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2022 Year-End Review – 12/1/2022

December 06, 2022

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