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