Product Description
Can't make it to Omaha for our 2019 Investment Adviser Compliance Conference? Breathe easier. RIA Compliance Consultants will live stream each session from Thursday, Sept 12, 2019. Topics will include:
- ADV 3 Pointers - Expert Guidance for Preparing ADV Part 3
- Dis-Close to Deficiencies - Disclosing and Supervising Investment Advisory Fees and Expenses
- Yes, It Can Happen to You – Risks of Arbitration
- Not All Heroes Wear Capes – How to be an Effective Chief Compliance Officer
- Vigilance, Due Diligence, Persistence - Cybersecurity Panel
- Disclose Disclose Disclose (and Mitigate)! - Conflicts of Interest Disclosures
- Failing to Prepare is Failing - Readiness & Preparing for Regulatory Examinations
- General Compliance Q & A Session with RCC Compliance Consultants
You will be able to submit questions that our consultants will answer during the General Compliance Q&A Session.