Keep abreast of new investment adviser regulatory developments by the U.S. Securities and Exchange Commission (“SEC”) and state securities regulators by participating in the investment adviser compliance webinars hosted monthly by RIA Compliance Consultants. Our investment adviser compliance webinars are designed to educate and train participants on the fundamentals of investment adviser compliance and the latest SEC and state securities regulator’s investment adviser rules, enforcement proceedings and no-action letters. RIA Compliance Consultants’ webinar presenters will attempt to provide examples of best compliance practices and practical solutions designed to meet an investment adviser’s compliance obligations.
Calendar of Our Upcoming Webinars
Train new staff on basic investment advisor compliance, learn best practices used by chief compliance officers of other investment advisors and stay current on most recent regulatory developments by purchasing our Annual Subscription to Live & Recorded Webinars. Under the Annual Subscription to Live & Recorded Webinars, you will have unlimited access during the next 12 month subscription period to all live webinars (at least 10 per year) hosted by RIA Compliance Consultants and all of the recorded webinars currently available in our library. By purchasing this annual subscription now, you can immediately reduce the average cost of your investment advisor compliance webinars and make sure that you and your colleagues have access to outstanding investment advisor compliance training.
The SEC Office of Compliance Inspections and Examinations (OCIE) recently issued its 2018 National Exam Program Examination Priorities. All investment advisers should be in a constant state of readiness so that when they are notified of an examination, they feel well prepared to provide the information requested during the examination. During this webinar, RIA Compliance Consultants will provide an overview of the investment adviser exam priorities identified in the OCIE release. We will also discuss some common exam deficiencies and provide tips for proactive steps firms can take to prepare for an examination and to avoid common deficiencies. For more information you can contact Grant Parr at email@example.com or 877-345-4034 x109.
Feb 22, 2018
During this webinar, RIA Compliance Consultants will explain in detail the process and documents necessary for registering a firm as an investment advisor, the criteria for determining whether a firm should register with the SEC or state securities regulators, and the common pitfalls or mistakes experienced by applicants. Additionally, our consultants will give numerous best practices used by applicants when registering as an investment advisor. Finally, we will review some of the ongoing obligations of a newly registered investment advisor.
Mar 14, 2018
Violations of Investment Advisers Act of 1940 Rule 206(4)-1, the Advertising Rule, are common exam deficiencies identified during investment adviser regulatory examinations. In September 2017, the SEC Office of Compliance Inspections and Examinations (OCIE) issued a National Exam Program Risk Alert addressing the most frequent advertising rule compliance issues identified in OCIE investment adviser examinations. During this webinar, RIA Compliance Consultants will review Rule 206(4)-1 and the prohibited practices relating to advertisements by investment advisers. We will discuss the common exam deficiencies and what investment advisers can do to avoid them. Additionally, we will provide you with some tips and best practices for preparing, supervising, and approving advertising materials. For more information you can contact Grant Parr at firstname.lastname@example.org or 877-345-4034 x109.
Mar 22, 2018
Time: Our investment adviser compliance webinars are generally scheduled to last one-hour from 12:00 p.m. to 1:00 p.m. Central Time on the topics and dates listed above.
Fee: Depending upon the compliance topic, the webinar may be offered upon a fee or complimentary basis. For a webinar subject to a charge by RIA Compliance Consultants, the fee is $69.95 per session and non-refundable.
Technical Requirements: In order to participate, you must have access to a telephone and an Internet browser. PC-based participants will need Windows® XP, Windows® Server 2008 or later. Macintosh®-based attendees will need Mac OS® X 10.8 (Mountain Lion) or later.
Call RIA Compliance Consultants at 877-345-4034 to register for our investment adviser compliance webinar.
*This is a complimentary webinar that will be presented by our affiliated law firm. Although RIA Compliance Consultants is affiliated with a law firm, RIA Compliance Consultants is not a law firm and does not provide legal services. Please note that a compliance consulting relationship with RIA Compliance Consultants is not provided those legal and professional protections that normally exist under an attorney-client relationship. For more information, please visit our Disclosures webpage.