Compliance Talk with RCC Consultants – A Year End Review

 

This free webinar was presented as an open discussion format between RIA Compliance Consultants’ President, Bryan Hill, and Vice-President, Jarrod James. From a perspective of what they have seen or learned in 2018, Bryan and Jarrod will share insight 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. Webinar participants will be encouraged to submit questions prior to or during the presentation on any related issues that they would like Bryan and Jarrod to discuss and, during the allotted time, Bryan and Jarrod will try to incorporate as many of these topics in to their discussion. 

For more information you can contact Grant Parr at gparr@ria-compliance-consultants.com or 877-345-4034 x 109.