Description
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.
This webinar was presented live on Thursday, March 31 at 12:00 p.m. CDT.
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