Compliance Roundtable with RCC Consultants – A 2021 Year End Review

$69.95

Join our Senior Compliance Consultants Jarrod James, Tom Zielinski, and Teresa O’Grady in a roundtable discussion moderated by RIA Compliance Consultants’ President Bryan Hill.

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Description

Join our Senior Compliance Consultants Jarrod James, Tom Zielinski, and Teresa O’Grady in a roundtable discussion moderated by RIA Compliance Consultants’ President Bryan Hill. From a perspective of what they have seen or learned in 2021, our consultants will share insights and advice regarding key areas of regulatory focus during examinations, Risk Alerts issued by the SEC’s Office of Compliance Inspections and Examinations, and SEC regulatory actions. Webinar participants are encouraged to submit questions prior to or during the discussion on any related issues that they would like to hear about.

This webinar will be presented live on Wednesday, December 15 at 12:00 PM CST.

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