SEC Charges 21 Investment Adviser Firms for Form ADV Part 3 Filing and Delivery Failures
Welcome to RCC in 60, where we share what’s new with RIA Compliance Consultants in 60 seconds or less.
On Thursday, July 22nd, RIA Compliance Consultants hosted a compliance training webinar about RIA website accessibility. In this webinar, we discussed the importance of the accessibility of an investment advisors website. This webinar is available free of charge through the link on this screen (RIA Website Accessibility Webinar).
In the past month, we’ve added several new entries to our blog, the most recent of which are the SEC Charging 21 Investment Adviser Firms for Form ADV Part 3 Filing and Delivery Failures; Mississippi Adopting IAR Continuing Education Rule; and the SEC Risk Alert on the use of Wrap-Fee Accounts by Investment Advisers. Click the links on this screen to view our most recent blog posts.
We would like to invite you to our upcoming Investment Adviser Compliance Conference on August 25 and 26 of 2021. This conference will be a virtual event hosted through Zoom. The cost to register for our conference is $295. If you’re an annual compliance program package client, please contact your consultant or support person to get your annual compliance program package discount. RIA Compliance Consultants has released a tentative agenda for RIA Compliance Connection 2021. To access a copy of this tentative agenda, please click the link on the screen (RIA Compliance Connection 2021 Tentative Agenda).
That’s been RCC in 60, we’ll see you next time!