Compliance Roundtable with RCC Consultants – A 2021 Year End Review

$69.95

Join RIA Compliance Consultants’ President Bryan Hill and Senior Compliance Consultant Jarrod James as they review major investment adviser topics from 2021.

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Description

Join RIA Compliance Consultants’ President Bryan Hill and Senior Compliance Consultant Jarrod James in conversation as they 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 from the perspective of what they saw or heard in 2021.

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

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