What’s New From RIA Compliance Consultants – July 2021

Recent Blog Posts

Recorded Webinar

Upcoming Webinar

Upcoming Conference


Missed our last updates? Check out our RCC in 60 Video for June 2021!


Video Transcript

Welcome to RCC in 60, where we share what’s new with RIA Compliance Consultants in 60 seconds or less.

On June 24th, senior compliance consultants Bryan Hill and Jarrod James recorded a compliance training webinar about RIA client testimonials under the new marketing rule. This webinar is available to our Annual Compliance Program Package clients through their online subscription accounts. Alternatively, access can be purchased through the link on this screen.

This webinar concluded a four part series about the SEC’s new marketing rule. For more information on the new marketing rule and to access all four of the webinar series’ sequences, please click the link on this screen. Please join RIA Compliance Consultants and Outlook Business Solutions on Thursday, July 22nd, at 12 o’clock Central time, as we host a webinar about our website accessibility. Because we believe that website accessibility is so important, we are making registration free to all who want to participate. To register for this webinar click the link on this screen.

In the past month, we’ve added several new entries to our blog, the most recent of which are New Guidance on New York IAR Registration and Increasing Client Participation in Designating Trusted Emergency Contacts. Click the link on this screen to be taken to our blog.

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 this screen.

That’s been RCC in 60. We’ll see you next time!