Current Trends in Regulatory Exams of Investment Advisers


Live/On-Demand: Live

Date: Thursday, June 29, 2023

Time: 12:00 – 1:00 p.m. U.S. Central Daylight Time

Length: 1 Hour



In this webinar, Bryan Hill, President of RIA Compliance Consultants, shares best practices when working with a regulator during an investment adviser examination. RCC’s Jarrod James, Teresa O’Grady, and Shelly Welch discuss areas of focus during actual exams in the last 12 months.

Learning Objectives

  • Knowledge of Best Practices for Handling Document Requests During an Examination
  • Awareness of Techniques for Preparing/Hosting an Onsite Visit by Securities Regulator
  • Understanding of How to Communicate with Examiners
  • Awareness of Issues or Areas of Focus During Recent Examinations of Investment Advisers.


  • Bryan Hill, President of RIA Compliance Consultants, Inc.
  • Jarrod James, Senior Vice President of RIA Compliance Consultants, Inc.
  • Teresa O’Grady, Senior Compliance Consultant of RIA Compliance Consultants, Inc.
  • Shelly Welch, Compliance Consultant of RIA Compliance Consultants, Inc.


  • Owner of Investment Adviser Firm;
  • Chief Executive Office, President and/or Managing Director of Investment Adviser Firm;
  • Senior Executive of Investment Adviser Firm;
  • Chief Compliance Officer of Investment Adviser Firm & Compliance Department Staff;
  • General Counsel and Legal Department Staff; and
  • Internal Auditors.


IAR CE Has Not Yet Been Approved by NASAA But Will Be Applied For Following the Live Presentation

NASAA Disclaimer

NASAA does not endorse any particular provider of CE courses. The content of the course and any views expressed are our own and do not necessarily reflect the views of NASAA or any of its member jurisdictions.

Important Disclosure

Please carefully review the following disclosures and limitations of this course.

  • Although the sponsor of this course, RIA Compliance Consultants, Inc. (“Sponsor”), is an affiliate of a law firm and Sponsor may have an individual on its staff that is also licensed as an attorney providing legal services in a completely separate capacity, Sponsor is not a law firm and does not provide legal services or legal advice. A consulting relationship with Sponsor does not provide the same protections as an attorney-client relationship.
  • This course is offered for educational purposes only and should not be considered an engagement with the course instructor or Sponsor. This presentation should not be considered a comprehensive review or analysis of the topics discussed today. To these educational materials are not a substitute for consulting with an attorney or compliance consultant in a one-on-one context whereby all the facts of your situation can be considered in their entirety.
  • Information provided during this course is provided “as is” without warranty of any kind, either express or implied, including, without limitation, warranties and merchantability, fitness for a particular purpose, or non-infringement. The course instructor and Sponsor assume no liability or responsibility for any errors or omissions in the content of the presentation.
  • To the extent that this course description or the course itself includes reference to a pending enforcement action or a consent order, please understand that the course instructor and Sponsor have not not verified the accuracy of the securities regulator’s complaint, order or other statements, and the course instructor and Sponsor are not offering any opinion whether the allegations made by the securities regulator in such enforcement action are accurate.
  • The course instructor and Sponsor are not be under an obligation to advise you of any regulatory developments or subsequent changes to educational material presented in this course.
  • There is no guarantee or promise that concepts, opinions and/or best practices discussed in this course will be favorably received by a regulator or result in a certain outcome in adversarial proceeding.
  • Communication with the course instructor is not protected from discovery by third-parties during litigation or regulatory proceedings. Please keep questions during this course in a hypothetical form.
  • Reviewing the slides and/or attending this course does not create a consulting engagement with RIA Compliance Consultants, Inc.


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