Registration for Compliance Seminar

We will be hosting Registered Investment Adviser Compliance Seminars in 4 cities during October 2018. 

Click Here to register for one of our 2018 Registered Investment Adviser Seminars.

  • Best practices and recent developments in advertising and social media
  • Confronting cyber risks, data breaches, and privacy risks
  • How to prepare for regulatory examinations and avoid common deficiencies
  • Standing Letters of Authorization and other Custody Issues
  • How to design and maintain a compliance program
  • Succession planning/business continuity planning

Reasons to Attend
  • Learn industry-specific cybersecurity risks and actions you can take to mitigate those risks
  • Learn best practices for advertising, including how to avoid social media pitfalls
  • Learn how to design an effective compliance program for your Investment Adviser
  • Hear from experts on best practices on preparing for and going through a books and records exam
  • Learn the most common deficiencies identified by regulatory examiners
Thursday, October 4, 2018
Tuesday, October 16, 2018
Thursday, October 18, 2018
Friday, October 19, 2018