Upcoming Webinars

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

Webinar
Date/Cost

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.
$545.00

During this CCO Basic Training webinar, Bryan Hill, president of RIA Compliance Consultants, will discuss the requirement for each investment adviser to designate an individual to serve in the role as the Chief Compliance Officer (CCO) pursuant to Rule 206(4)-7 under the Investment Advisers Act of 1940. He will discuss the role of the CCO and provide an overview of the CCO’s ongoing compliance requirements.
Feb 2, 2023
$69.95

During this webinar, Bryan Hill, President of RIA Compliance Consultants, will review the SEC’s published examination priorities for 2023 and also discuss NASAA’s examination sweep results for state registered investment advisers. Bryan will provide specific best practices that investment advisers should consider adopting in light of regulatory examination and enforcement trends.
Feb 23, 2023
$69.95

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.