During this webinar, RIA Compliance Consultants provides an overview of the requirement for an investment adviser to develop written supervisory policies and procedures pursuant to Rule 206(4)-7 under the Investment Advisers Act of 1940. Our consultants discuss the importance of and process for developing and maintaining a customized program to address the specific risks and conflicts of interest associated with each firm’s business model, outside business activities, and affiliations. Our consultants also discuss the value of ongoing monitoring and testing in addition to the annual compliance review process in order to ensure that the policies and procedures are written to reasonably prevent violations of the Investment Advisers Act of 1940 and the rules thereunder. Additionally, our consultants discuss the need to make sure that all supervised persons understand and comply with the firm’s policies and procedures in order to promote a strong compliance culture throughout the firm.
Date Recorded: October 3, 2013
Time: 60 minutes
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Although the sponsor of this presentation, 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 presentation is offered for educational purposes only and should not be considered an engagement with Presenter or Sponsor. This presentation should not be considered a comprehensive review or analysis of the topics discussed today. These 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.
Despite efforts to be accurate and current, this presentation may contain out-of-date information. Additionally, Presenter and Sponsor will not be under an obligation to advise you of any subsequent changes.
Information provided during this presentation 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. Presenter and Sponsor assume no liability or responsibility for any errors or omissions in the content of the presentation.
Information provide during this presentation relates solely to the Investment Advisers Act of 1940 and the rules thereunder and, at times, we may reference similar state securities rules and regulations specific to registration as an investment adviser. Certain circumstances or arrangements you may have may warrant you to consider other regulations that may apply including, but not limited to: the Investment Company Act of 1940; the Securities Act of 1933; the Securities Exchange Act of 1934; ERISA and other Department of Labor regulations; federal or state laws and regulations and self-regulatory (e.g., FINRA) rules for broker-dealers and registered representatives/securities agents of broker-dealers; and state insurance rules and regulations. The Sponsor of this presentation does not provide any advice or consulting services outside the scope of the Investment Advisers Act of 1940 or similar investment adviser state securities rules and regulations. If you need advice regarding any other rules or regulations, the Sponsor recommends that you consult with an attorney or consultant that specializes in those specific rules or regulations.
There is no guarantee or promise that concepts, opinions and/or recommendations discussed will be favorably received by any particular court, arbitration panel or securities regulator or result in a certain outcome.
To the extent that you provide RCC with your email address, it will be added to RCC’s electronic newsletter mailing list regarding compliance issues for investment advisers. You may opt out at any time by calling RCC at 877-345-4034 or clicking at any time the “unsubscribe” link on the electronic newsletter.
Communication with today’s webinar presenter is not protected by attorney-client privilege. Please keep questions during this seminar in a hypothetical form. This seminar session and/or the presentation materials may be recorded, copied and/or shared with third parties and/or posted to our public website.
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