Description
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.
This webinar was presented live on Thursday, February 23 at 12:00 p.m. CST.
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