Archives

How to Develop Compliance Training & Complying with the New IAR CE Rule

July 26, 2022

Join President of RIA Compliance Consultants Bryan Hill as he shares insights and best practices to consider when developing compliance training. Bryan will also provide an update on the new IAR CE Rule, currently in effect in Maryland, Mississippi and Vermont.

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Reviewing & Updating Form U4 & Form ADV Part 2B

June 27, 2022

Join Senior Vice President Jarrod James as he provides advice on reviewing and updating Form U4 and Form ADV Part 2B, along with general best practices for reviewing investment adviser documents.

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Updating Form ADV

May 27, 2022

Learn from a roundtable discussion with our Senior Compliance Consultants about common events requiring updates of the Form ADV.

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Reviewing and Updating Investment Adviser Client Agreements

May 04, 2022

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2022 Exam Priorities

April 04, 2022

During this webinar, Bryan Hill, President of RIA Compliance Consultants, reviews the SEC’s published examination priorities 2022 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.

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IRA Rollover Compliance

February 24, 2022

Is your investment adviser firm meeting the requirements of the U.S. Department of Labor (“DoL”) when recommending a rollover from a retirement plan to an individual retirement account (“IRA”)? In this recorded webinar, Bryan Hill, President of RIA Compliance Consultants, discusses the specific steps your investment adviser firm needs to take to comply with DoL’s […]

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How to Report Elder Abuse to Adult Protective Services

January 25, 2022

RCC President, Bryan Hill, will interview officials from the Nebraska Securities Bureau and Adult Protective Services about how to report elder abuse and protect senior investors.

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Compliance Tips for Covid-19 and Volatile Markets

January 25, 2022

RIA Compliance Consultants’s President, Bryan Hill, discussed Compliance Issues with COVID-19 and volatile markets including privacy policies, succession planning, suitability, and business continuity planning.

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Compliance Concerns with Private Funds

January 25, 2022

During this compliance training webinar, RCC’s Senior Vice-President, Jarrod James, was joined by Dan McMahon of Koley Jessen to discuss the SEC’s recent Risk Alert entitled SEC’s Observations from Examinations of Investment Advisers Managing Private Funds. They discussed the key differences between an Exempt Reporting Adviser filing (ERA) for private fund advisers and full registration […]

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Best Practices to Reduce the Risks of Arbitration and Litigation

January 25, 2022

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