2023 Investment Adviser Exam Priorities

$69.95

During this webinar, Bryan Hill, President of RIA Compliance Consultants, will review the SEC’s published examination priorities for 2023 and also discuss NASAA’s examination sweep results for state registered investment advisers. Bryan will provide specific best practices that investment advisers should consider adopting in light of regulatory examination and enforcement trends.

Description

During this webinar, Bryan Hill, President of RIA Compliance Consultants, will review the SEC’s published examination priorities for 2023 and also discuss NASAA’s examination sweep results for state registered investment advisers. Bryan will provide specific best practices that investment advisers should consider adopting in light of regulatory examination and enforcement trends.

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

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