Webinars With Industry Experts

2017 Compliance For RIAs

 

 

With securities regulators keenly focused on the increasing decentralization of investment advice, 2017 is shaping up to be another busy compliance year for RIAs. In this webinar, you'll hear about:

• DOL fiduciary rules for April 2017 and beyond
• Fraud and cyber-attack policies
• Don't become a custodian without knowing it
• New rules on business continuity and key-person risk
• Ensuring remote persons follow your firm's policies
• Testing and verifying you are doing a good job


Speaker Chris Winn is founder of AdvisorAssist, a Boston-based management consulting firm serving investment advisory firms exclusively. AdvisorAssist manages start-up and transition. It supports compliance, practice management and technology for SEC and state registered investment advisers and broker-dealers. Registration, strategy, transition management, vendor selection, incubation, and compliance program design are their strengths.

 

This webinar is eligible for IMCA® CE credit.

 

Questions?

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