Online Store
- Annual Amendment Service
- Code of Ethics and Written Supervisory Procedures
- Compliance Review
- Annual Compliance Programs Subscriptions
- Sample Forms
- Upcoming Webinars
- Recorded Webinars
- Training Materials
The following investment adviser compliance services, training and sample forms of RIA Compliance Consultants can be purchased directly online.
Annual Amendment Service
The ADV Annual Amendment Service provided by RIA Compliance Consultants is to assist an investment adviser with preparing and filing through the IARD system the Form ADV Part 1 annual amendment that an investment adviser must file within 90 days of the investment adviser’s fiscal year end.
After receiving the online payment for this service, we will send you an email requesting that you execute an electronic contract. (If you would like to view or execute this electronic engagement now, please click here). Once we have received your executed agreement along with your online payment, we will email you instructions on how to provide RIA Compliance Consultants with user access to your IARD/Web CRD Account. This will allow us to prepare and submit documents on your behalf.
$895
Code of Ethics and Written Supervisory Procedures
Under this manual option for a state registered investment advisor, you receive our standard written supervisory procedures and code of ethics manual template which references the published investment advisor rules of your investment adviser’s primary state securities regulator. This written supervisory procedures and code of ethics template is not customized to your investment adviser’s personnel, business model, procedures or practices. The fixed fee for this Regulator Specific Template Manual is $495.
$495
Under this manual option for an SEC registered investment advisor, you receive our standard written supervisory procedures and code of ethics manual template which references the published investment advisor rules of your investment adviser’s primary securities regulator. This written supervisory procedures and code of ethics template is not customized to your investment adviser’s personnel, business model, procedures or practices. The fixed fee for this Regulator Specific Template Manual is $495.
$495
Under this manual option for a state registered investment advisor, you complete on your own (without a consultant) a detailed questionnaire about your investment advisor’s personnel, business model, procedures and practices. Your answers are then entered into our electronic compliance manual authoring wizard, RIA Express – Compliance Manual Drafter, which automatically creates for you a customized written supervisory procedures and code of ethics manual. This written supervisory procedures manual and code of ethics is customized by our RIA Express – Compliance Manual Drafter, based upon the published investment advisor rules of your primary state securities regulator and the answers to our questionnaire. This manual option will also include a packet of sample forms and checklists that can be used to assist with implementing some of the ongoing compliance and code of ethics requirements. The fixed fee for this Self-Customized, Regulator Specific Manual that you prepare through RIA Express – Compliance Manual Drafter is $695.
$695
Under this manual option for an SEC registered investment advisor, you complete on your own (without a consultant) a detailed questionnaire about your investment advisor’s personnel, business model, procedures and practices. Your answers are then entered into our electronic compliance manual authoring wizard, RIA Express – Compliance Manual Drafter, which automatically creates for you a customized written supervisory procedures and code of ethics manual. This written supervisory procedures manual and code of ethics is customized by our RIA Express – Compliance Manual Drafter, based upon the published investment advisor rules of your primary state securities regulator and the answers to our questionnaire. This manual option will also include a packet of sample forms and checklists that can be used to assist with implementing some of the ongoing compliance and code of ethics requirements. The fixed fee for this Self-Customized, Regulator Specific Manual that you prepare through RIA Express – Compliance Manual Drafter is $695.
$695
The fixed fee for this Consultant Customized, Regulator Specific Manual (State Registered Investment Advisor) is $1,295, which includes use of our electronic compliance manual authoring wizard and 3 hours of consulting work by our compliance consultant.
This manual option for a state registered investment advisor will also include a packet of sample forms and checklists that can be used to assist with implementing some of the ongoing compliance and code of ethics requirements.
$1,295
The fixed fee for this Consultant Customized, Regulator Specific Manual (SEC Registered Investment Advisor) is $1,295, which includes use of our electronic compliance manual authoring wizard and 3 hours of consulting work by our compliance consultant.
This manual option for an SEC registered investment advisor will also include a packet of sample forms and checklists that can be used to assist with implementing some of the ongoing compliance and code of ethics requirements.
$1,295
This is a sample WSP/CoE section – ADV 3 which is an investment adviser compliance policy and set of procedures related to an SEC registered investment adviser’s obligation to file, deliver and update the Form ADV Part 3/Form CRS to retail investors.
Included with Bronze, Silver, Gold & Platinum Packages.
$250
This sample written supervisory procedure/compliance manual section for an investment adviser firm is intended for an investment adviser firm owned by a holding company where the president of such holding company is not involved in the management of the investment adviser firm and thus is not licensed as an investment adviser representative nor treated as a supervised person or access person of the investment adviser firm. An investment adviser firm should exercise caution before using this sample WSP section.
Included with Bronze, Silver, Gold and Platinum Packages.
$250
This sample WSP section entitled “Protecting Older and Vulnerable Clients with Diminished Capacity” provides examples of warning signs of financial exploitation of senior clients and examples of trusted contact and reporting procedures of suspected or possible financial exploitation. Includes updates based upon the Senior Safe Act.
Included with Bronze, Silver, Gold and Platinum Packages. Last updated March 27, 2019.
$250
This sample WSP section is intended to address risks of identity theft and wire fraud and covers the SEC’s Identity Theft Red Flags rule (Regulation S-ID) along with best practices for detecting identity theft used to for fraudulent third-party disbursements.
Included with Bronze, Silver, Gold and Platinum.
$250
This sample WSP section is intended for an investment adviser firm which recommends inverse or leveraged ETFs.
Included with Bronze, Silver, Gold and Platinum Packages.
$250
This sample document is delivered via the purchaser’s online subscription account with RIA Compliance Consultants. If the purchaser does not have an online subscription account, after the purchase, the purchaser will receive a follow-up email directing the purchaser to establish online subscription account. This step will need to completed before our systems can deliver the sample document.
Included with Bronze, Silver, Gold and Platinum Packages.
$250
This sample WSP section is intended for an investment adviser firm that intends to permit its investment adviser representatives to communicate with client via text messaging.
Included with Bronze, Silver, Gold and Platinum Packages.
$250
This sample WSP section is intended for an investment adviser firm which has investment adviser representatives that may recommend that a client invest a retirement account in a fixed indexed annuity in lieu of a separately managed account by an investment adviser. The purchaser of this sample WSP section will need to customize and/or add factors/criteria considered by the insurance agent in order to ensure that any recommendation is in the best interest of the investor.
Included with Bronze, Silver, Gold and Platinum Packages.
$250
This sample written supervisory procedure is intended for an investment adviser firm which may recommend to a client the rollover of retirement plan assets to individual retirement account (IRA).
Included with Bronze, Silver, Gold and Platinum Packages.
$250
Included with Bronze, Silver, Gold and Platinum Packages.
$250
RIA Compliance Consultants has prepared a template compliance manual section to assist advisers with developing internal policies and procedures on the process for assessing the suitability and appropriateness of a recommending a wrap-fee or fee-based account to a client instead of a standard brokerage/commission based account. In addition to the template manual section, you will receive a sample Broker-Dealer (Commission) v. RIA (Fee) Account Acknowledgement that investment adviser representatives that are dually registered as representatives of a broker-dealer can have clients execute to acknowledge that the investment adviser has disclosed the common differences between a broker-dealer/commission arrangement and an investment adviser/fee arrangement.
Included with Bronze, Silver, Gold and Platinum Packages.
$250
RIA Compliance Consultants has prepared a template compliance manual section to assist advisers with developing internal policies and procedures on the process for assessing the suitability and appropriateness of a recommending a wrap-fee or non wrap-fee account.
Included with Bronze, Silver, Gold and Platinum Packages.
$250
This sample written supervisory procedure/compliance manual section for an investment adviser firm that may have an insurance only agent, who is not investment adviser representative licensed, in attendance at an investment advisory client meeting.
Included with Silver, Gold and Platinum Packages. Last updated December 2017.
$250
This sample written supervisory procedure/compliance manual section for an investment adviser firm which has a supervised person who may participate as a member of an investors committee of a private investment fund not managed or advised by or otherwise affiliated with the investment adviser firm.
Included with Bronze, Silver, Gold and Platinum Packages. Initially posted February 9, 2018.
$250
This sample written supervisory procedure/compliance manual section is for an investment adviser firm that is owned in part by an individual who is not registered or licensed as an investment adviser representative.
Included with Silver, Gold and Platinum Packages. Last updated February 12, 2018.
$250
This sample written supervisory procedure/compliance manual section for an investment adviser firm is intended to describe the succession of ownership of the investment adviser firm and/or continuation of service of its clients if the owner of the investment adviser firm dies.
Included with Bronze, Silver, Gold and Platinum Packages. Initially posted February 2018.
$250
This sample written supervisory procedure/compliance manual section for an investment adviser firm which recommends mutual funds and is dually registered as an investment adviser/broker-dealer or has an affiliate that is a broker-dealer or supervised person who is a registered representative. This sample Mutual Fund Share Class section prohibits receipt of 12b-1 trails and outlines process for selecting/documenting a selection of a share class that is not the least expensive available.
Included with Bronze, Silver, Gold and Platinum Packages.
$250
This sample written supervisory procedure/compliance manual section is intended to address the conflict of interest associated with an investment adviser which offers both wrap and non-wrap fee accounts to its investment advisory clients.
Included with Bronze, Silver, Gold and Platinum Packages. Initially posted in April 2018.
$250
This sample written supervisory procedure/compliance manual section is intended to address the conflict of interest associated with an investment adviser which offers both wrap and non-wrap fee accounts to its investment advisory clients.
Included with Bronze, Silver, Gold and Platinum Packages. Initially posted in May 2018.
$250
This sample WSP/compliance manual section for an investment adviser firm describes the various Section 13 filings under the Securities Exchange Act of 1934 and outlines the procedures for filing the Form 13F and Form 13H.
Included with Bronze, Silver, Gold and Platinum Packages.
$250
Compliance Review
Annual Compliance Programs Subscriptions
For automatic monthly installment payments of $200 per month, RIA Compliance Consultants offers its Value Package - Annual Compliance Program Subscription to assist and support your registered investment advisor firm with its compliance obligations.
$200/mo.
For automatic monthly installment payments of $240 per month, our Bronze Package includes 5 hours of as-needed consulting, IARD renewals, Form ADV Pt. 1A Annual Amendment, live and recorded webinars, certain sample forms and compliance reminders.
$240/mo.
For automatic monthly installment payments of $295 per month, our Silver Package includes RIA Express – Compliance Review, 5 hours of as-needed consulting, IARD renewals, Form ADV Pt. 1A Annual Amendment, live and recorded webinars, certain sample forms and compliance reminders. In addition to the basic compliance support and resources, the Silver Package also provides a method for you to conduct a self-evaluation of your registered investment advisor firm’s compliance program which leverages the knowledge and experience of RIA Compliance Consultants.
$295/mo.
For automatic monthly installment payments of $525 per month, our Gold Package includes a consultant led off-site, annual review, 5 hours of as-needed consulting, IARD renewals, Form ADV Pt. 1A Annual Amendment, live and recorded webinars, certain sample forms and compliance reminders. In addition to the basic compliance support and resources, the Gold Package provides your investment advisor firm with an offsite annual review led by a senior compliance consultant of RIA Compliance Consultants. It allows an investment advisor firm to leverage the knowledge and experience of veteran investment advisor compliance professional. Before purchasing this item, please contact us or schedule an introductory call for more details and to obtain an initial quote specific to your investment advisor firm.
$525/mo.
Sample Forms
RIA Compliance Consultants has developed the following forms to assist investment advisers in maintaining the required books and records. The forms are delivered in Microsoft Word format and can easily be customized to fit your business. Each form can be purchased individually, and certain forms are included as part of our packages. Please see the Learn More section of each form for additional details.*
Click here to purchase sample forms.
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.
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
This one-hour compliance webinar and continuing education course for investment adviser representatives will explore the SEC's recent guidance and enforcement actions under the new Marketing Rule (SEC Rule 206(4)-1). The session will review the key provisions of the Marketing Rule, highlight the SEC’s recent enforcement actions, and address common compliance challenges faced by investment advisers. We will also discuss best practices for implementing compliant marketing strategies, identifying potential pitfalls, and ensuring adherence to the SEC's evolving regulatory expectations. The course will review numerous SEC enforcement actions and guidance from the SEC's Division of Examination to help participants understand the rule's practical application and associated risks. The session will conclude with a Q&A section to address participant-specific concerns.
Oct 24, 2024
$20.00
$20.00
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.
Recorded 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.
Once you complete your transaction to purchase a recorded webinar, you will receive two separate emails from RIA Compliance Consultants: (a) an email with a receipt confirming your transaction; and (b) an additional email that includes a link to our CustomerHub page where you can access your new webinar and any webinars you have previously purchased from RIA Compliance Consultants.
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.
Webinar
Recording Date/Cost
Description: 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
Time: 50 minutes
Description: During this webinar our Senior Compliance Consultants discussed compliance challenges and procedures for adding new investment adviser representatives to your investment adviser firm.
Description: During this webinar our Senior Compliance Consultants discussed compliance challenges and procedures for adding new investment adviser representatives to your investment adviser firm.
Jul 23, 2020
$69.95
$69.95
Time: 65 minutes
Description: During this webinar, Bryan Hill, President of RIA Compliance Consultants, Inc., will discuss the initial delivery requirements to existing clients, the use of electronic delivery, the requirement to post to the website and hyperlinking to Form ADV Part 2A, the obligations to update, file and deliver after material changes and SEC examination issues.
Description: During this webinar, Bryan Hill, President of RIA Compliance Consultants, Inc., will discuss the initial delivery requirements to existing clients, the use of electronic delivery, the requirement to post to the website and hyperlinking to Form ADV Part 2A, the obligations to update, file and deliver after material changes and SEC examination issues.
Jun 24, 2020
$69.95
$69.95
Time: 65 minutes
Description: During RIA Compliance Consultants, Inc.'s February 20, 2020 Compliance Training Webinar, "Common Questions for RCC Consultants," our Senior Compliance Consultants shared the most common questions they receive from clients. Our consultants discussed how they have addressed these questions offering best practices, tips and tricks.
Description: During RIA Compliance Consultants, Inc.'s February 20, 2020 Compliance Training Webinar, "Common Questions for RCC Consultants," our Senior Compliance Consultants shared the most common questions they receive from clients. Our consultants discussed how they have addressed these questions offering best practices, tips and tricks.
Feb 20, 2020
$69.95
$69.95
Time: 65 minutes
Description: RCC President, Bryan Hill, will interview officials from the Nebraska Securities Bureau and Adult Protective Services about how to report elder abuse and protect senior investors.
Description: RCC President, Bryan Hill, will interview officials from the Nebraska Securities Bureau and Adult Protective Services about how to report elder abuse and protect senior investors.
Jan 22, 2020
Free
Free
Time: 65 minutes
Description: The Office of Compliance, Inspections and Examinations of U.S. Securities and Exchange Commission issued the 2020 Examination priorities for federally registered investment advisers. RCC President, Bryan Hill, will discuss these priorities and offer expert guidance on how your investment adviser can address them.
Description: The Office of Compliance, Inspections and Examinations of U.S. Securities and Exchange Commission issued the 2020 Examination priorities for federally registered investment advisers. RCC President, Bryan Hill, will discuss these priorities and offer expert guidance on how your investment adviser can address them.
Jan 22, 2020
$69.95
$69.95
Time: 70 minutes
Description: This webinar will be an open discussion format between RIA Compliance Consultants’ President, Bryan Hill, and Vice-President, Jarrod James. From a perspective of what they have seen or learned in 2019, Bryan and Jarrod will share insight and advice regarding key areas of regulatory focus during examinations, Risk Alerts issued by the SEC’s Office of Compliance Inspections and Examinations, and SEC regulatory actions. Webinar participants will be encouraged to submit questions prior to or during the presentation on any related issues that they would like Bryan and Jarrod to discuss and, during the allotted time, Bryan and Jarrod will try to incorporate as many of these topics into their discussion.
Description: This webinar will be an open discussion format between RIA Compliance Consultants’ President, Bryan Hill, and Vice-President, Jarrod James. From a perspective of what they have seen or learned in 2019, Bryan and Jarrod will share insight and advice regarding key areas of regulatory focus during examinations, Risk Alerts issued by the SEC’s Office of Compliance Inspections and Examinations, and SEC regulatory actions. Webinar participants will be encouraged to submit questions prior to or during the presentation on any related issues that they would like Bryan and Jarrod to discuss and, during the allotted time, Bryan and Jarrod will try to incorporate as many of these topics into their discussion.
Dec 11, 2019
$69.95
$69.95
Time: 65 minutes
Description: Under federal law, an investment adviser is a fiduciary and must act in the best interest of its clients at all times. This fiduciary duty requires an investment adviser to provide advice that is in the best interest of the client, based on the client’s objectives, and eliminate or make full and fair disclosure of all conflicts of interest that might incline and investment adviser – consciously or unconsciously – to render advice which is not disinterested. In June 2019, the U.S. Securities and Exchange Commission (“SEC”) published an “Interpretation Regarding Standard of Conduct for Investment Advisers” under the Investment Advisers Act of 1940 with an effective date of July 12, 2019. This interpretation was released to address in one release and reaffirm, or in some cases clarify, certain aspects of the fiduciary duty that investment advisers owe their clients. During this webinar, our consultant will discuss this SEC release. RCC’s consultant will provide guidance on things investment advisers must do to ensure that they are meeting their fiduciary duty to their clients and will provide tips for identifying conflicts of interest and ensuring that proper disclosures have been made.
Description: Under federal law, an investment adviser is a fiduciary and must act in the best interest of its clients at all times. This fiduciary duty requires an investment adviser to provide advice that is in the best interest of the client, based on the client’s objectives, and eliminate or make full and fair disclosure of all conflicts of interest that might incline and investment adviser – consciously or unconsciously – to render advice which is not disinterested. In June 2019, the U.S. Securities and Exchange Commission (“SEC”) published an “Interpretation Regarding Standard of Conduct for Investment Advisers” under the Investment Advisers Act of 1940 with an effective date of July 12, 2019. This interpretation was released to address in one release and reaffirm, or in some cases clarify, certain aspects of the fiduciary duty that investment advisers owe their clients. During this webinar, our consultant will discuss this SEC release. RCC’s consultant will provide guidance on things investment advisers must do to ensure that they are meeting their fiduciary duty to their clients and will provide tips for identifying conflicts of interest and ensuring that proper disclosures have been made.
Nov 14, 2019
$69.95
$69.95
Time: 70 minutes
Description: During this webinar, RIA Compliance Consultants discussed what firms should do to make sure that they are prepared to renew their firm registration and investment adviser representative licenses on time in order to avoid registrations or licenses being terminated. We will discuss some of the key dates that investment advisers need to be aware of in order to meet the renewal deadlines. Additionally, we will discuss what investment advisers should be doing to make sure that they are prepared to file their Form ADV annual amendments in a timely manner. We will discuss the Form ADV annual amendment filing requirements and will review those items in the Form ADV Part 1 that are required to be updated on an annual basis. We will also discuss some of the common mistakes we see when preparing the Form ADV annual amendments and will provide tips for avoiding similar mistakes.
Description: During this webinar, RIA Compliance Consultants discussed what firms should do to make sure that they are prepared to renew their firm registration and investment adviser representative licenses on time in order to avoid registrations or licenses being terminated. We will discuss some of the key dates that investment advisers need to be aware of in order to meet the renewal deadlines. Additionally, we will discuss what investment advisers should be doing to make sure that they are prepared to file their Form ADV annual amendments in a timely manner. We will discuss the Form ADV annual amendment filing requirements and will review those items in the Form ADV Part 1 that are required to be updated on an annual basis. We will also discuss some of the common mistakes we see when preparing the Form ADV annual amendments and will provide tips for avoiding similar mistakes.
Oct 17, 2019
$69.95
$69.95
Time: 76 minutes
Description: During this previously recorded webinar, RIA Compliance Consultants explains in detail the process and documents necessary for registering a firm as an investment advisor, the criteria for determining whether a firm should register with the SEC or state securities regulators, and the common pitfalls or mistakes experienced by applicants. Additionally, our consultants give numerous best practices used by applicants when registering as an investment advisor. Finally, we will review some of the ongoing obligations of a newly registered investment advisor.
Description: During this previously recorded webinar, RIA Compliance Consultants explains in detail the process and documents necessary for registering a firm as an investment advisor, the criteria for determining whether a firm should register with the SEC or state securities regulators, and the common pitfalls or mistakes experienced by applicants. Additionally, our consultants give numerous best practices used by applicants when registering as an investment advisor. Finally, we will review some of the ongoing obligations of a newly registered investment advisor.
FREE
Time: 72 minutes
Description: This webinar will be hosted by RIA Compliance Consultants (RCC). Along with RCC’s President, we will have a guest speaker from Lockton Affinity, LLC, one of our Strategic Alliance Members that provides E&O and Cybersecurity Insurance to investment advisers. During this webinar, our presenters will discuss the importance of carrying E&O and Cybersecurity Insurance and they will provide some examples of cases where these insurance types were needed by investment advisers.
Description: This webinar will be hosted by RIA Compliance Consultants (RCC). Along with RCC’s President, we will have a guest speaker from Lockton Affinity, LLC, one of our Strategic Alliance Members that provides E&O and Cybersecurity Insurance to investment advisers. During this webinar, our presenters will discuss the importance of carrying E&O and Cybersecurity Insurance and they will provide some examples of cases where these insurance types were needed by investment advisers.
Aug 22, 2019
$69.95
$69.95
Time: 66 minutes
Jul 25, 2019
$69.95
$69.95
Time: 86 minutes
Description: On June 5, 2019, the Securities and Exchange Commission (SEC) voted to adopt a package of rulemakings and interpretations designed to enhance the quality and transparency of retail investors’ relationships with investment advisers and broker-dealers. Under the package, there are two separate interpretations related to the Investment Advisers Act of 1940 (“Investment Advisers Act”), one related to the investment advisers’ fiduciary duty and the other related to the solely incidental exclusion for broker-dealers under the Investment Advisers Act. The biggest impact for investment advisers will be the requirement to develop and deliver to clients a client relationship summary (Form CRS/Form ADV Part 3). The new rules and interpretations will become effective 60 days after they are published to the SEC’s Federal Register, which was done on June 5, 2019. The compliance date for filing the Form CRS/Form ADV Part 3 with SEC and beginning delivery to clients is June 30, 2020.
Description: On June 5, 2019, the Securities and Exchange Commission (SEC) voted to adopt a package of rulemakings and interpretations designed to enhance the quality and transparency of retail investors’ relationships with investment advisers and broker-dealers. Under the package, there are two separate interpretations related to the Investment Advisers Act of 1940 (“Investment Advisers Act”), one related to the investment advisers’ fiduciary duty and the other related to the solely incidental exclusion for broker-dealers under the Investment Advisers Act. The biggest impact for investment advisers will be the requirement to develop and deliver to clients a client relationship summary (Form CRS/Form ADV Part 3). The new rules and interpretations will become effective 60 days after they are published to the SEC’s Federal Register, which was done on June 5, 2019. The compliance date for filing the Form CRS/Form ADV Part 3 with SEC and beginning delivery to clients is June 30, 2020.
Jun 20, 2019
$69.95
$69.95
Time: 62 minutes
Description: Cybersecurity is, and probably will continue to be for many years to come, a continued area of focus for the U.S. Securities and Exchange Commission (“SEC”). This was one of the focus areas identified in the 2019 Examination Priorities issued by the SEC’s Office of Compliance Inspections and Examinations (“OCIE”). Additionally, on April 16, 2019, OCIE issued a Risk Alert addressing investment adviser compliance issues related to Regulation S-P – Privacy Notices and Safeguard Policies. During our webinar, RCC’s consultants will discuss SEC cybersecurity examination priorities, the SEC’s April 16 Risk Alert, and SEC enforcement actions related to cybersecurity. Our consultants will discuss not only the need to develop strong cybersecurity policies and procedures to ensure the safeguarding of customer records and information but also the importance of implementing and testing those policies and procedures. Additionally, our consultant will provide tips for best practices to meet regulatory expectations and protect customer information.
Description: Cybersecurity is, and probably will continue to be for many years to come, a continued area of focus for the U.S. Securities and Exchange Commission (“SEC”). This was one of the focus areas identified in the 2019 Examination Priorities issued by the SEC’s Office of Compliance Inspections and Examinations (“OCIE”). Additionally, on April 16, 2019, OCIE issued a Risk Alert addressing investment adviser compliance issues related to Regulation S-P – Privacy Notices and Safeguard Policies. During our webinar, RCC’s consultants will discuss SEC cybersecurity examination priorities, the SEC’s April 16 Risk Alert, and SEC enforcement actions related to cybersecurity. Our consultants will discuss not only the need to develop strong cybersecurity policies and procedures to ensure the safeguarding of customer records and information but also the importance of implementing and testing those policies and procedures. Additionally, our consultant will provide tips for best practices to meet regulatory expectations and protect customer information.
May 16, 2019
$69.95
$69.95
Time: 63 minutes
Description: President of RIA Compliance Consultants, Bryan Hill, discusses fee billing best practices with our Senior Compliance Consultants.
Description: President of RIA Compliance Consultants, Bryan Hill, discusses fee billing best practices with our Senior Compliance Consultants.
Apr 18, 2019
$69.95
$69.95
Description: All investment advisers must create and maintain a strong culture of compliance throughout the firm. A strong compliance culture starts with an investment adviser’s top senior leaders and is then carried throughout every level of the firm. In order to have a strong compliance culture every employee of the firm, no matter how big or small their role, must understand the importance of and abide by doing what is right at all times. During this webinar, RIA Compliance Consultants will discuss what it means for an investment adviser to have a strong culture of compliance. Our consultants will discuss the importance an investment adviser’s written compliance policies and procedures play in developing a strong compliance culture but will also address things firms need to do beyond writing strong compliance policies and procedures. We will provide tips for things investment advisers can do to ensure that they are creating and maintaining a strong compliance culture throughout the firm.
Mar 21, 2019
$69.95
$69.95
Time: 66 minutes
Description: As an investment adviser, you are required to file an amendment to your Form ADV every year within 90 days of the firm’s fiscal year end. For many investment advisers, this is the only time during the year that an amendment is filed, but this may not be the only time one should be filed. There are certain changes that require investment advisers to file amendments “promptly.” When filing the Form ADV annual amendment, investment advisers should do a complete review of the Form ADV and, in addition to the items that are only required to be updated once a year, investment advisers should update any information that is inaccurate, not current, or requires additional disclosures. However, doing the revisions only once a year may mean that the investment adviser is not in compliance with regulatory requirements. Join us for this webinar to learn more about maintaining your Form ADV on an ongoing basis. During this webinar, our consultants will briefly discuss the Form ADV annual amendment filing requirements. Additionally, we will discuss the requirements for “other-than-annual amendments.” We will talk about things that occur throughout the year that may require an investment adviser to file an amendment promptly and some of the common problems we see with investment advisers not maintaining current and accurate Form ADVs. We will also provide tips for maintaining a compliant Form ADV on an ongoing basis.
Description: As an investment adviser, you are required to file an amendment to your Form ADV every year within 90 days of the firm’s fiscal year end. For many investment advisers, this is the only time during the year that an amendment is filed, but this may not be the only time one should be filed. There are certain changes that require investment advisers to file amendments “promptly.” When filing the Form ADV annual amendment, investment advisers should do a complete review of the Form ADV and, in addition to the items that are only required to be updated once a year, investment advisers should update any information that is inaccurate, not current, or requires additional disclosures. However, doing the revisions only once a year may mean that the investment adviser is not in compliance with regulatory requirements. Join us for this webinar to learn more about maintaining your Form ADV on an ongoing basis. During this webinar, our consultants will briefly discuss the Form ADV annual amendment filing requirements. Additionally, we will discuss the requirements for “other-than-annual amendments.” We will talk about things that occur throughout the year that may require an investment adviser to file an amendment promptly and some of the common problems we see with investment advisers not maintaining current and accurate Form ADVs. We will also provide tips for maintaining a compliant Form ADV on an ongoing basis.
Feb 21, 2019
$69.95
$69.95
Time: 70 minutes
Description: The SEC Office of Compliance Inspections and Examinations recently published its 2019 National Exam Program Examination Priorities. Although they release these to let investment advisers know some of the key areas of focus and current concern, these priorities may not be all inclusive of the types of exams that will be conducted. Additionally, when the SEC contacts an investment adviser to notify them of an examination being scheduled, they will not typically provide any information regarding the type of examination or reason for the examination being conducted. As an investment adviser, you should be prepared at all times for an examination regardless of the focus. During this webinar, our consultants will provide an overview of the SEC 2019 exam priorities. Our consultants will then provide you with tips for ways investment advisers can make sure they are prepared at all times for any type of examination.
Description: The SEC Office of Compliance Inspections and Examinations recently published its 2019 National Exam Program Examination Priorities. Although they release these to let investment advisers know some of the key areas of focus and current concern, these priorities may not be all inclusive of the types of exams that will be conducted. Additionally, when the SEC contacts an investment adviser to notify them of an examination being scheduled, they will not typically provide any information regarding the type of examination or reason for the examination being conducted. As an investment adviser, you should be prepared at all times for an examination regardless of the focus. During this webinar, our consultants will provide an overview of the SEC 2019 exam priorities. Our consultants will then provide you with tips for ways investment advisers can make sure they are prepared at all times for any type of examination.
Jan 24, 2019
$69.95
$69.95
Time: 70 minutes
Description: This webinar was presented as an open discussion format between RIA Compliance Consultants’ President, Bryan Hill, and Vice-President, Jarrod James. From a perspective of what they have seen or learned in 2018, Bryan and Jarrod will share insight and advice regarding key areas of regulatory focus during examinations, Risk Alerts issued by the SEC’s Office of Compliance Inspections and Examinations, and SEC regulatory actions. Webinar participants will be encouraged to submit questions prior to or during the presentation on any related issues that they would like Bryan and Jarrod to discuss and, during the allotted time, Bryan and Jarrod will try to incorporate as many of these topics in to their discussion.
Description: This webinar was presented as an open discussion format between RIA Compliance Consultants’ President, Bryan Hill, and Vice-President, Jarrod James. From a perspective of what they have seen or learned in 2018, Bryan and Jarrod will share insight and advice regarding key areas of regulatory focus during examinations, Risk Alerts issued by the SEC’s Office of Compliance Inspections and Examinations, and SEC regulatory actions. Webinar participants will be encouraged to submit questions prior to or during the presentation on any related issues that they would like Bryan and Jarrod to discuss and, during the allotted time, Bryan and Jarrod will try to incorporate as many of these topics in to their discussion.
Dec 12, 2018
Free
Free
Time: 68 minutes
Description: Regardless of an investment adviser’s size or structure, a succession plan should be in place to address situations where a key party is temporarily or permanently unable to perform duties for the investment adviser. RIA Compliance Consultants will present this webinar to provide insights regarding the importance of and requirements for having a succession plan in place. Our consultant will also provide tips for building a succession plan and key elements that should be included in a plan.
Description: Regardless of an investment adviser’s size or structure, a succession plan should be in place to address situations where a key party is temporarily or permanently unable to perform duties for the investment adviser. RIA Compliance Consultants will present this webinar to provide insights regarding the importance of and requirements for having a succession plan in place. Our consultant will also provide tips for building a succession plan and key elements that should be included in a plan.
Nov 15, 2018
$69.95
$69.95
Time: 70 minutes
Description: During this webinar, three of our Senior Compliance Consultants discuss how to identify and properly disclose conflicts of interest. They also offer best practices for mitigating your conflicts of interest.
Description: During this webinar, three of our Senior Compliance Consultants discuss how to identify and properly disclose conflicts of interest. They also offer best practices for mitigating your conflicts of interest.
Oct 18, 2018
$69.95
$69.95
Time: 85 minutes
Description: Rule 206(4)-7 under the Investment Advisers Act of 1940 requires SEC registered investment advisers to review their written policies and procedures, at least annually, to determine their adequacy and the effectiveness of their implementation. Although this has been a requirement since the rule became effective in 2004, this is still an area where we commonly see regulatory exam deficiencies. During this webinar, RIA Compliance Consultants will review the requirements of Rule 206(4)-7. We will discuss the importance of conducting these reviews beyond the regulatory requirements and who should be involved in the review process. Additionally, we will provide tips for how the review should be conducted and documented.
Description: Rule 206(4)-7 under the Investment Advisers Act of 1940 requires SEC registered investment advisers to review their written policies and procedures, at least annually, to determine their adequacy and the effectiveness of their implementation. Although this has been a requirement since the rule became effective in 2004, this is still an area where we commonly see regulatory exam deficiencies. During this webinar, RIA Compliance Consultants will review the requirements of Rule 206(4)-7. We will discuss the importance of conducting these reviews beyond the regulatory requirements and who should be involved in the review process. Additionally, we will provide tips for how the review should be conducted and documented.
Sep 20, 2018
$69.95
$69.95
Time: 76 minutes
Description: As fiduciaries, investment advisers have a duty to help protect senior and vulnerable clients from financial exploitation. Investment advisers play an important role in protecting senior investors and vulnerable clients from financial exploitation. Over the past several years there has been significant focus among various regulatory agencies within the financial services industry to develop policies, rules, and regulations that help safe guard senior and vulnerable investors. Most recently, concerns of senior exploitation resulted in the passing of federal legislation under the Senior Safe Act. During this webinar, RIA Compliance Consultants will discuss steps an investment adviser should take to comply with recent legislation and other governing regulations that may be in place related to senior and vulnerable clients. We will provide tips regarding policies and procedures investment advisers should implement for detecting, reporting, and mitigating financial exploitation of senior investors and vulnerable clients.
Description: As fiduciaries, investment advisers have a duty to help protect senior and vulnerable clients from financial exploitation. Investment advisers play an important role in protecting senior investors and vulnerable clients from financial exploitation. Over the past several years there has been significant focus among various regulatory agencies within the financial services industry to develop policies, rules, and regulations that help safe guard senior and vulnerable investors. Most recently, concerns of senior exploitation resulted in the passing of federal legislation under the Senior Safe Act. During this webinar, RIA Compliance Consultants will discuss steps an investment adviser should take to comply with recent legislation and other governing regulations that may be in place related to senior and vulnerable clients. We will provide tips regarding policies and procedures investment advisers should implement for detecting, reporting, and mitigating financial exploitation of senior investors and vulnerable clients.
Jul 19, 2018
$69.95
$69.95
Time: 75 minutes
Description: As a fiduciary, investment advisers must make full and fair disclosure of all material facts and you must eliminate, or at least disclose, all conflicts of interest. Disclosure of all fees and expenses a client may incur as well as what conflicts of interest exist resulting from the fees and expenses is required in the Form ADV. During this webinar, RIA Compliance Consultants will discuss the importance of providing full, clear, and accurate disclosures regarding fees and expenses and the conflict of interest that are related to the investment advisory fees or other expenses that a client may incur. Our consultants will discuss the recent SEC Risk Alert, “Overview of the Most Frequent Advisory Fee and Expense Compliance Issues Identified in Examinations of Investment Advisers,” as well as investment adviser enforcement actions related to fees and expenses. Additionally, we will offer best practice tips for investment advisers to comply with fee and expense disclosure requirements.
Description: As a fiduciary, investment advisers must make full and fair disclosure of all material facts and you must eliminate, or at least disclose, all conflicts of interest. Disclosure of all fees and expenses a client may incur as well as what conflicts of interest exist resulting from the fees and expenses is required in the Form ADV. During this webinar, RIA Compliance Consultants will discuss the importance of providing full, clear, and accurate disclosures regarding fees and expenses and the conflict of interest that are related to the investment advisory fees or other expenses that a client may incur. Our consultants will discuss the recent SEC Risk Alert, “Overview of the Most Frequent Advisory Fee and Expense Compliance Issues Identified in Examinations of Investment Advisers,” as well as investment adviser enforcement actions related to fees and expenses. Additionally, we will offer best practice tips for investment advisers to comply with fee and expense disclosure requirements.
Jun 21, 2018
$69.95
$69.95
Time: 75 minutes
Description: The SEC recently held one of its compliance outreach program’s national seminars for investment companies and investment advisers. The SEC’s Office of Compliance Inspections and Examinations, Division of Investment Management, and the Asset Management Unit of the Division of Enforcement jointly sponsor the compliance outreach program that is intended to help investment companies and investment advisers enhance their compliance programs. The daylong event was held on April 12, 2018 in Washington, D.C. and a live webcast was available. One of our consultants listened to the webcast and will highlight for you some of the key points she learned from the various panel discussions that were presented during the webcast.
Description: The SEC recently held one of its compliance outreach program’s national seminars for investment companies and investment advisers. The SEC’s Office of Compliance Inspections and Examinations, Division of Investment Management, and the Asset Management Unit of the Division of Enforcement jointly sponsor the compliance outreach program that is intended to help investment companies and investment advisers enhance their compliance programs. The daylong event was held on April 12, 2018 in Washington, D.C. and a live webcast was available. One of our consultants listened to the webcast and will highlight for you some of the key points she learned from the various panel discussions that were presented during the webcast.
May 23, 2018
$69.95
$69.95
Time: 80 minutes
Description: Rule 204-2 under the Investment Advisers Act of 1940 requires an investment adviser registered or required to be registered with the SEC to make and keep true, accurate and current certain books and records related to its investment advisory business. Missing, outdated, or inaccurate books and records are common investment adviser exam deficiencies. RIA Compliance Consultants will present this webinar to provide a general overview of Rule 204-2 and then will discuss some of the common books and records deficiencies and provide tips for what your adviser firm can do to avoid them.
Description: Rule 204-2 under the Investment Advisers Act of 1940 requires an investment adviser registered or required to be registered with the SEC to make and keep true, accurate and current certain books and records related to its investment advisory business. Missing, outdated, or inaccurate books and records are common investment adviser exam deficiencies. RIA Compliance Consultants will present this webinar to provide a general overview of Rule 204-2 and then will discuss some of the common books and records deficiencies and provide tips for what your adviser firm can do to avoid them.
Apr 26, 2018
$69.95
$69.95
Time: 75 minutes
Description: Violations of Investment Advisers Act of 1940 Rule 206(4)-1, the Advertising Rule, are common exam deficiencies identified during investment adviser regulatory examinations. In September 2017, the SEC Office of Compliance Inspections and Examinations (OCIE) issued a National Exam Program Risk Alert addressing the most frequent advertising rule compliance issues identified in OCIE investment adviser examinations. During this webinar, RIA Compliance Consultants will review Rule 206(4)-1 and the prohibited practices relating to advertisements by investment advisers. We will discuss the common exam deficiencies and what investment advisers can do to avoid them. Additionally, we will provide you with some tips and best practices for preparing, supervising, and approving advertising materials. For more information you can contact Grant Parr at gparr@ria-compliance-consultants.com or 877-345-4034 x109.
Description: Violations of Investment Advisers Act of 1940 Rule 206(4)-1, the Advertising Rule, are common exam deficiencies identified during investment adviser regulatory examinations. In September 2017, the SEC Office of Compliance Inspections and Examinations (OCIE) issued a National Exam Program Risk Alert addressing the most frequent advertising rule compliance issues identified in OCIE investment adviser examinations. During this webinar, RIA Compliance Consultants will review Rule 206(4)-1 and the prohibited practices relating to advertisements by investment advisers. We will discuss the common exam deficiencies and what investment advisers can do to avoid them. Additionally, we will provide you with some tips and best practices for preparing, supervising, and approving advertising materials. For more information you can contact Grant Parr at gparr@ria-compliance-consultants.com or 877-345-4034 x109.
Mar 22, 2018
$69.95
$69.95
Time: 72 minutes
Description: The SEC Office of Compliance Inspections and Examinations (OCIE) recently issued its 2018 National Exam Program Examination Priorities. All investment advisers should be in a constant state of readiness so that when they are notified of an examination, they feel well prepared to provide the information requested during the examination. During this webinar, RIA Compliance Consultants will provide an overview of the investment adviser exam priorities identified in the OCIE release. We will also discuss some common exam deficiencies and provide tips for proactive steps firms can take to prepare for an examination and to avoid common deficiencies. For more information you can contact Grant Parr at gparr@ria-compliance-consultants.com or 877-345-4034 x109.
Description: The SEC Office of Compliance Inspections and Examinations (OCIE) recently issued its 2018 National Exam Program Examination Priorities. All investment advisers should be in a constant state of readiness so that when they are notified of an examination, they feel well prepared to provide the information requested during the examination. During this webinar, RIA Compliance Consultants will provide an overview of the investment adviser exam priorities identified in the OCIE release. We will also discuss some common exam deficiencies and provide tips for proactive steps firms can take to prepare for an examination and to avoid common deficiencies. For more information you can contact Grant Parr at gparr@ria-compliance-consultants.com or 877-345-4034 x109.
Feb 22, 2018
$69.95
$69.95
Time: 67 minutes
Description: Developing a strong compliance program through customized written supervisory policies and procedures is just the first step in having a strong investment adviser compliance program. Investment advisers must then make sure that the various compliance duties identified in the written supervisory policies and procedures are carried out and performed throughout the year. Developing compliance calendars or checklists is a good way to ensure that the various compliance functions are performed. During this webinar, RIA Compliance Consultants will discuss the importance of laying out your compliance program through some type of compliance calendar or checklist. Our consultants will discuss some of the common compliance duties that should be performed by all investment advisers each year. Additionally, we will provide tips for preparing customized compliance calendars, checklists, and forms to assist investment advisers with meeting annual regulatory requirements and documenting the completion of various compliance duties throughout the year.
Description: Developing a strong compliance program through customized written supervisory policies and procedures is just the first step in having a strong investment adviser compliance program. Investment advisers must then make sure that the various compliance duties identified in the written supervisory policies and procedures are carried out and performed throughout the year. Developing compliance calendars or checklists is a good way to ensure that the various compliance functions are performed. During this webinar, RIA Compliance Consultants will discuss the importance of laying out your compliance program through some type of compliance calendar or checklist. Our consultants will discuss some of the common compliance duties that should be performed by all investment advisers each year. Additionally, we will provide tips for preparing customized compliance calendars, checklists, and forms to assist investment advisers with meeting annual regulatory requirements and documenting the completion of various compliance duties throughout the year.
Jan 25, 2018
$69.95
$69.95
Time: 75 minutes
Description: During this webinar, RCC will provide an overview of some of the common investment adviser regulatory exam findings we have seen during 2017. In 2017, RCC saw an increase in the number of investment advisory exams conducted by both SEC and state examiners. One of our consultants will share with you some of the most common exam findings seen across examination letters we have reviewed. Our consultant will also share with you some of the new areas of focus and new exam deficiencies we have seen in these examination letters. Additionally, our consultant will provide you guidance and tips of things your investment adviser can do to try to avoid having similar exam deficiencies should you be subject to a regulatory examination. For more information you can contact Grant Parr at gparr@ria-compliance-consultants.com or 877-345-4034 x109.
Description: During this webinar, RCC will provide an overview of some of the common investment adviser regulatory exam findings we have seen during 2017. In 2017, RCC saw an increase in the number of investment advisory exams conducted by both SEC and state examiners. One of our consultants will share with you some of the most common exam findings seen across examination letters we have reviewed. Our consultant will also share with you some of the new areas of focus and new exam deficiencies we have seen in these examination letters. Additionally, our consultant will provide you guidance and tips of things your investment adviser can do to try to avoid having similar exam deficiencies should you be subject to a regulatory examination. For more information you can contact Grant Parr at gparr@ria-compliance-consultants.com or 877-345-4034 x109.
Dec 14, 2017
69.95
69.95
Time: 75 minutes
Description: During this webinar, we will review SEC guidance on use of social media and best practices for a supervising social media use
Description: During this webinar, we will review SEC guidance on use of social media and best practices for a supervising social media use
Nov 30, 2017
69.95
69.95
Time: 73 minutes
Description: During this webinar, one of our consultants will provide a general overview of the custody requirements under the Investment Advisers Act of 1940 Rule 206(4)-2 Custody of Funds or Securities of Clients by Investment Advisers. The primary focus of the webinar will be discussing “first-party” versus “third-party” disbursements/transfers in light of a February 2017 SEC no-action letter discussing custody; the SEC’s updated FAQs on this topic; and guidance provided by one of the major account custodians for registered investment advisers. Our consultant will provide you with tips for complying with the custody requirements of Rule 206(4)-2 and tips for avoiding custody inadvertent custody situations should your firm choose to not have custody of its client’s assets.
Description: During this webinar, one of our consultants will provide a general overview of the custody requirements under the Investment Advisers Act of 1940 Rule 206(4)-2 Custody of Funds or Securities of Clients by Investment Advisers. The primary focus of the webinar will be discussing “first-party” versus “third-party” disbursements/transfers in light of a February 2017 SEC no-action letter discussing custody; the SEC’s updated FAQs on this topic; and guidance provided by one of the major account custodians for registered investment advisers. Our consultant will provide you with tips for complying with the custody requirements of Rule 206(4)-2 and tips for avoiding custody inadvertent custody situations should your firm choose to not have custody of its client’s assets.
Oct 26, 2017
$69.95
$69.95
Time: 78 minutes
Description: Each year within 90 days of a firm’s fiscal year end, investment advisers must file a Form ADV annual amendment. This year investment advisers will have to provide more information than they have in the past due to changes to the Form ADV that were approved last year. These changes become effective October 1, 2017 and any Form ADV filed after this date will be required to provide the new data. For most existing investment advisers, this means that the new data will be required when they file the Form ADV annual amendment. These changes will likely affect almost every investment adviser and many advisers may not be prepared to gather the additional data that is being requested on the Form ADV. During this webinar RIA Compliance Consultants will provide an overview of the new information that will be required after October 1. Investment advisers should attend this webinar so that they can begin preparing their data early this year to make sure that they can gather the necessary data in the manner that the SEC is requesting it. Our consultants will also briefly discuss some of the common mistakes we see when investment advisers are filing their annual amendments.
Description: Each year within 90 days of a firm’s fiscal year end, investment advisers must file a Form ADV annual amendment. This year investment advisers will have to provide more information than they have in the past due to changes to the Form ADV that were approved last year. These changes become effective October 1, 2017 and any Form ADV filed after this date will be required to provide the new data. For most existing investment advisers, this means that the new data will be required when they file the Form ADV annual amendment. These changes will likely affect almost every investment adviser and many advisers may not be prepared to gather the additional data that is being requested on the Form ADV. During this webinar RIA Compliance Consultants will provide an overview of the new information that will be required after October 1. Investment advisers should attend this webinar so that they can begin preparing their data early this year to make sure that they can gather the necessary data in the manner that the SEC is requesting it. Our consultants will also briefly discuss some of the common mistakes we see when investment advisers are filing their annual amendments.
Sep 7, 2017
$69.95
$69.95
Description: On August 24, 2017 RIA Compliance Consultants hosted an investment adviser compliance conference. During the conference, our Senior Compliance Consultants spoke about Creating a Compliance Calendar, DoL Fiduciary Rule Updates, Changes to the Form ADV, SEC Exam Regulatory Findings, SEC Enforcement Actions, and Cybersecurity Policies and Procedures. For $95 you can get access to the slides and recordings from those 6 presentations through your online subscription account.
Aug 24, 2017
$95.00
$95.00
Time: 71 minutes
Description: The SEC periodically offers Compliance Outreach Program Regional Seminars for Investment Adviser and Investment Company Senior Officers. These seminars are jointly sponsored by the SEC’s Office of Compliance Inspections and Examinations, Division of Investment Management, and Division of Enforcement’s Asset Management Unit. One of these regional seminars was recently held in Chicago and the SEC provided a webcast of the day long even. RIA Compliance Consultants believes these seminars can be beneficial to learn more about the SEC’s exam priorities, what some of their key areas of focus are, what might be coming in the future, and what trends or common exam deficiencies they may be seeing. One of our senior consultants listened to the webcast and will highlight for you some of the key points she learned from the various panel discussions that were presented during the webcast. Our consultant will also try to provide you with guidance for addressing some of these issues within your investment adviser.
Description: The SEC periodically offers Compliance Outreach Program Regional Seminars for Investment Adviser and Investment Company Senior Officers. These seminars are jointly sponsored by the SEC’s Office of Compliance Inspections and Examinations, Division of Investment Management, and Division of Enforcement’s Asset Management Unit. One of these regional seminars was recently held in Chicago and the SEC provided a webcast of the day long even. RIA Compliance Consultants believes these seminars can be beneficial to learn more about the SEC’s exam priorities, what some of their key areas of focus are, what might be coming in the future, and what trends or common exam deficiencies they may be seeing. One of our senior consultants listened to the webcast and will highlight for you some of the key points she learned from the various panel discussions that were presented during the webcast. Our consultant will also try to provide you with guidance for addressing some of these issues within your investment adviser.
Jul 27, 2017
$69.95
$69.95
Time: 59 minutes
Description: Will you be in compliance with the Best Interest Contract Exemption under the U.S. Department of Labor's fiduciary rule, which tentativley goes into effect on June 9, 2017? This webinar will review an investment adviser firm's obligations as of June 9, 2017 and January 1, 2018 under the recetnly amended apllicability dates of the Best Interest Contract Exemption.
Description: Will you be in compliance with the Best Interest Contract Exemption under the U.S. Department of Labor's fiduciary rule, which tentativley goes into effect on June 9, 2017? This webinar will review an investment adviser firm's obligations as of June 9, 2017 and January 1, 2018 under the recetnly amended apllicability dates of the Best Interest Contract Exemption.
Jun 21, 2017
$69.95
$69.95
Time: 72 minutes
Description: During this webinar, RIA Compliance Consultants provides an overview of the requirement for an investment adviser to develop and implement written policies and procedures pursuant to Rule 206(4)-7 under the Investment Advisers Act of 1940. Our consultants will provide an overview of the minimal areas that the initial rule release, issued in 2004, indicated should be address in investment advisers’ policies and procedures. We will also provide guidance on additional areas, since the adopting rule release, of regulatory focus or potential areas of concern that investment advisers should consider addressing in their written policies and procedures. Our consultants will review the importance of customizing and maintaining this document on an ongoing basis to accurately and effectively address the specific risks and conflicts of interest associated with each firm’s business model, outside business activities, and affiliations. We will provide tips for the customization and maintenance of an effective compliance program through communication, analysis, and ongoing reviews, testing, and monitoring.
Description: During this webinar, RIA Compliance Consultants provides an overview of the requirement for an investment adviser to develop and implement written policies and procedures pursuant to Rule 206(4)-7 under the Investment Advisers Act of 1940. Our consultants will provide an overview of the minimal areas that the initial rule release, issued in 2004, indicated should be address in investment advisers’ policies and procedures. We will also provide guidance on additional areas, since the adopting rule release, of regulatory focus or potential areas of concern that investment advisers should consider addressing in their written policies and procedures. Our consultants will review the importance of customizing and maintaining this document on an ongoing basis to accurately and effectively address the specific risks and conflicts of interest associated with each firm’s business model, outside business activities, and affiliations. We will provide tips for the customization and maintenance of an effective compliance program through communication, analysis, and ongoing reviews, testing, and monitoring.
May 18, 2017
$69.95
$69.95
Time: 71 minutes
Description: During this webinar, RIA Compliance Consultants will discuss the requirement for each investment adviser to designate an individual to serve in the role as Chief Compliance Officer (CCO) pursuant to Rule 206(4)-7 under the Investment Advisers Act of 1940. We will discuss who should serve in the role as the CCO, what it really means to be the CCO, and the responsibilities associated with serving as the CCO for your investment adviser. We will also discuss some of the key factors investment advisers should consider when they outsource compliance activities or the chief compliance officer role to unaffiliated third parties.
Description: During this webinar, RIA Compliance Consultants will discuss the requirement for each investment adviser to designate an individual to serve in the role as Chief Compliance Officer (CCO) pursuant to Rule 206(4)-7 under the Investment Advisers Act of 1940. We will discuss who should serve in the role as the CCO, what it really means to be the CCO, and the responsibilities associated with serving as the CCO for your investment adviser. We will also discuss some of the key factors investment advisers should consider when they outsource compliance activities or the chief compliance officer role to unaffiliated third parties.
Apr 27, 2017
$69.95
$69.95
Time: 65 minutes
Description: In January 2017, the SEC’s Office of Compliance Inspections and Examinations (OCIE) announced its exam priorities for 2017. In February 2017, OCIE issued a Risk Alert providing a list of the five most frequent compliance topics identified in OCIE’s examinations of investment advisers. During this webinar, RIA Compliance Consultants will provide an overview of the exam priorities that relate to registered investment advisers. Our consultants will then discuss common exam deficiencies, highlighting the ones that are addressed in the OCIE Risk Alert, and will provide tips for proactive steps investment advisers can take to be prepared for a regulatory exam and to prevent some of the most common exam deficiencies.
Description: In January 2017, the SEC’s Office of Compliance Inspections and Examinations (OCIE) announced its exam priorities for 2017. In February 2017, OCIE issued a Risk Alert providing a list of the five most frequent compliance topics identified in OCIE’s examinations of investment advisers. During this webinar, RIA Compliance Consultants will provide an overview of the exam priorities that relate to registered investment advisers. Our consultants will then discuss common exam deficiencies, highlighting the ones that are addressed in the OCIE Risk Alert, and will provide tips for proactive steps investment advisers can take to be prepared for a regulatory exam and to prevent some of the most common exam deficiencies.
Mar 23, 2017
$69.95
$69.95
Time: 68 minutes
Description: During this webinar, RIA Compliance Consultants will discuss the need for investment advisers to continuously assess where the investment advisers may have potential conflicts of interest. We will then discuss the importance of determining whether the conflict of interest is something that should be eliminated and when it cannot be eliminated the importance of mitigating the conflict and providing accurate and full and fair disclosure to clients.
Description: During this webinar, RIA Compliance Consultants will discuss the need for investment advisers to continuously assess where the investment advisers may have potential conflicts of interest. We will then discuss the importance of determining whether the conflict of interest is something that should be eliminated and when it cannot be eliminated the importance of mitigating the conflict and providing accurate and full and fair disclosure to clients.
Feb 7, 2017
$69.95
$69.95
Time: 62 minutes
Description: During this webinar, RIA Compliance Consultants reviews the Form ADV items that are required to be updated on an annual basis. Our consultants discuss some of the common mistakes we see when investment advisers are filing their annual amendments. Additionally, we address some of the other amendments and filings that may need to be made with your annual amendment. We also provide a brief overview of the Form ADV amendments that will be required after October 1, 2016 so your firm can make sure it is keeping accurate records throughout the year to assist with preparing the 2017 fiscal year end annual amendment.
Description: During this webinar, RIA Compliance Consultants reviews the Form ADV items that are required to be updated on an annual basis. Our consultants discuss some of the common mistakes we see when investment advisers are filing their annual amendments. Additionally, we address some of the other amendments and filings that may need to be made with your annual amendment. We also provide a brief overview of the Form ADV amendments that will be required after October 1, 2016 so your firm can make sure it is keeping accurate records throughout the year to assist with preparing the 2017 fiscal year end annual amendment.
Jan 26, 2017
$69.95
$69.95
Time: 62 minutes
Description: During this webinar, RIA Compliance Consultants discusses a variety of topics related to the ongoing regulatory requirements for registered investment advisers. We focus on some of the common compliance duties that should be performed by all investment advisers each year. Tips are provided by our consultants for preparing customized compliance calendars, checklists, and forms to assist investment advisers with meeting annual regulatory requirements. Additionally, we discuss some of the key areas of regulatory focus during 2016 and some changes or potential changes coming in 2017.
Description: During this webinar, RIA Compliance Consultants discusses a variety of topics related to the ongoing regulatory requirements for registered investment advisers. We focus on some of the common compliance duties that should be performed by all investment advisers each year. Tips are provided by our consultants for preparing customized compliance calendars, checklists, and forms to assist investment advisers with meeting annual regulatory requirements. Additionally, we discuss some of the key areas of regulatory focus during 2016 and some changes or potential changes coming in 2017.
Dec 15, 2016
$69.95
$69.95
Time: 80 minutes
Nov 10, 2016
$195.00
$195.00
Time: 59 minutes
Description: In this webinar we take a close look at the compliance requirements for branch offices and supervising IARs with past disciplinary histories.
Description: In this webinar we take a close look at the compliance requirements for branch offices and supervising IARs with past disciplinary histories.
Oct 20, 2016
$69.95
$69.95
Time: 62 minutes
Description: Many times we see registered investment advisers with custody violations resulting from an inadvertent custody situation where the investment adviser has provided services to a client that unknowingly resulted in the investment adviser being deemed to have custody of a client’s assets. During this webinar RIA Compliance Consultants explains why the majority of investment advisers have custody simply as the result of debiting advisory fees from client accounts. Our consultants discuss services that result in custody (as defined by the SEC) including trustee relationships, full power of attorney, maintaining client-account login credentials and bill paying services. Thorough explanations are provided to help investment advisers better understand what custody means, the requirements imposed by SEC Rule 206(4)-2, who needs
Description: Many times we see registered investment advisers with custody violations resulting from an inadvertent custody situation where the investment adviser has provided services to a client that unknowingly resulted in the investment adviser being deemed to have custody of a client’s assets. During this webinar RIA Compliance Consultants explains why the majority of investment advisers have custody simply as the result of debiting advisory fees from client accounts. Our consultants discuss services that result in custody (as defined by the SEC) including trustee relationships, full power of attorney, maintaining client-account login credentials and bill paying services. Thorough explanations are provided to help investment advisers better understand what custody means, the requirements imposed by SEC Rule 206(4)-2, who needs
Sep 29, 2016
$69.95
$69.95
Time: 73 minutes
Description: During this webinar, we review the main requirements of the new DoL conflict of interest rule and discuss some techniques and next steps certain investment adviser only firms may take in response to this rule.
Description: During this webinar, we review the main requirements of the new DoL conflict of interest rule and discuss some techniques and next steps certain investment adviser only firms may take in response to this rule.
Aug 11, 2016
$69.95
$69.95
Time: 56 minutes
Description: During this webinar, RIA Compliance Consultants discusses the compliance challenges and conflicts of interest faced by independent registered investment advisers that allow their investment adviser representatives to also conduct brokerage business as registered representatives of an independent broker-dealer. For the past four years, the SEC’s Office of Compliance Inspections and Examinations has listed dual registrants or fee selection and reverse churning as examination priorities. During this webinar, our consultants will discuss the importance of clearly understanding the compliance differences between these two roles and implementing strong compliance policies and procedures to address the risks and conflicts of interest associated with offering both business models. We discuss the importance of communicating to clients the difference in the role of an investment adviser representative versus a registered representative as well as providing full disclosure regarding the conflicts or potential conflicts of interest present because of a representative’s ability to act in both capacities. We also discuss the risks associated with being dually registered in these capacities. Additionally, our compliance consultants provide some tips and best practices for developing a compliance program to address these risks and conflicts.
Description: During this webinar, RIA Compliance Consultants discusses the compliance challenges and conflicts of interest faced by independent registered investment advisers that allow their investment adviser representatives to also conduct brokerage business as registered representatives of an independent broker-dealer. For the past four years, the SEC’s Office of Compliance Inspections and Examinations has listed dual registrants or fee selection and reverse churning as examination priorities. During this webinar, our consultants will discuss the importance of clearly understanding the compliance differences between these two roles and implementing strong compliance policies and procedures to address the risks and conflicts of interest associated with offering both business models. We discuss the importance of communicating to clients the difference in the role of an investment adviser representative versus a registered representative as well as providing full disclosure regarding the conflicts or potential conflicts of interest present because of a representative’s ability to act in both capacities. We also discuss the risks associated with being dually registered in these capacities. Additionally, our compliance consultants provide some tips and best practices for developing a compliance program to address these risks and conflicts.
Jul 21, 2016
$69.95
$69.95
Time: 62 minutes
Description: During this webinar, RIA Compliance Consultants discusses what it means to have and the importance of having a strong “culture of compliance.” An investment adviser’s compliance culture and “tone at the top” are areas that a regulator will typically begin assessing early in the examination process. This assessment can have a big impact on an examiner’s view of the effectiveness of an investment adviser’s compliance program. RIA Compliance Consultants provides insight regarding what an investment adviser should look at and consider in assessing the strength of its compliance program. Additionally, tips are provided regarding elements that should be included as part of and beyond the compliance program to make sure the investment adviser has a strong compliance culture in place.
Description: During this webinar, RIA Compliance Consultants discusses what it means to have and the importance of having a strong “culture of compliance.” An investment adviser’s compliance culture and “tone at the top” are areas that a regulator will typically begin assessing early in the examination process. This assessment can have a big impact on an examiner’s view of the effectiveness of an investment adviser’s compliance program. RIA Compliance Consultants provides insight regarding what an investment adviser should look at and consider in assessing the strength of its compliance program. Additionally, tips are provided regarding elements that should be included as part of and beyond the compliance program to make sure the investment adviser has a strong compliance culture in place.
Jun 23, 2016
$69.95
$69.95
Time: 68 minutes
Description: During this webinar, RIA Compliance Consultants provides an overview of the regulatory exam process, the different types of exams conducted, and the types of documents that may be requested during an exam. We briefly discuss the 2016 Exam Priorities of the Office of Compliance Inspections and Examinations of the SEC and some of the information provided by the North American Securities Administration Association’s 2015 Investment Adviser Coordinated Exams report. Additionally, we provide tips and recommendations to help your investment adviser make sure that they are ready for an examination.
Description: During this webinar, RIA Compliance Consultants provides an overview of the regulatory exam process, the different types of exams conducted, and the types of documents that may be requested during an exam. We briefly discuss the 2016 Exam Priorities of the Office of Compliance Inspections and Examinations of the SEC and some of the information provided by the North American Securities Administration Association’s 2015 Investment Adviser Coordinated Exams report. Additionally, we provide tips and recommendations to help your investment adviser make sure that they are ready for an examination.
May 19, 2016
$69.95
$69.95
Time: 74 minutes
Description: During this webinar, RIA Compliance Consultants provide an overview of Rule 204-2 of the Investment Advisers Act to help provide investment advisers with a general understanding of the types of documents that investment advisers are required to maintain; the length of time that investment advisers must maintain the records required under this rule; and the requirements for maintaining records electronically. Our consultants discuss some common exam deficiencies related to Rule 204-2 and will provide some tips and best practices to avoid those deficiencies.
Description: During this webinar, RIA Compliance Consultants provide an overview of Rule 204-2 of the Investment Advisers Act to help provide investment advisers with a general understanding of the types of documents that investment advisers are required to maintain; the length of time that investment advisers must maintain the records required under this rule; and the requirements for maintaining records electronically. Our consultants discuss some common exam deficiencies related to Rule 204-2 and will provide some tips and best practices to avoid those deficiencies.
Apr 28, 2016
$69.95
$69.95
Time: 58 minutes
Description: During this webinar, RIA Compliance Consultants briefly discuss the recordkeeping requirements under Rule 204-2 of the Investment Advisers Act of 1940 (“Advisers Act”) that specifically relate to the annual policies and procedures review required under Rule 206(4)-7 of the Advisers Act. Our consultants provide some tips on what type of records should be maintained documenting the firm’s assessment of its written policies and procedures. After a brief discussion about documenting the annual compliance review, our consultants provide a demonstration of our RIA Express – Compliance Review. This is our online compliance tool we have developed to help guide investment advisers through the process of reviewing the effectiveness of their investment adviser compliance programs.
Description: During this webinar, RIA Compliance Consultants briefly discuss the recordkeeping requirements under Rule 204-2 of the Investment Advisers Act of 1940 (“Advisers Act”) that specifically relate to the annual policies and procedures review required under Rule 206(4)-7 of the Advisers Act. Our consultants provide some tips on what type of records should be maintained documenting the firm’s assessment of its written policies and procedures. After a brief discussion about documenting the annual compliance review, our consultants provide a demonstration of our RIA Express – Compliance Review. This is our online compliance tool we have developed to help guide investment advisers through the process of reviewing the effectiveness of their investment adviser compliance programs.
Mar 24, 2016
$69.95
$69.95
Time: 62 minutes
Description: This was the thirteenth and final session in our webinar series focusing on providing investment advisers with more insight into the annual compliance review process. During this webinar, RIA Compliance Consultants discuss some of the books and records related to client documents and proxy voting that are required under Rule 204-2 of the Investment Advisers Act of 1940. Our consultants address some of the documentation and reports that may not be specifically referenced under Rule 204-2 but are commonly requested by regulators. Our consultants discuss the need for written policies and procedures to address client documentation, proxy voting, and advising foreign clients. Additionally, our consultants briefly discuss some areas related to ERISA regulations that investment advisers should further discuss with an ERISA attorney if they are providing advice to ERISA covered plans. Our consultants provide tips and recommendations regarding reviews and tests related to these topics that should be performed as part of a firm’s annual compliance review.
Description: This was the thirteenth and final session in our webinar series focusing on providing investment advisers with more insight into the annual compliance review process. During this webinar, RIA Compliance Consultants discuss some of the books and records related to client documents and proxy voting that are required under Rule 204-2 of the Investment Advisers Act of 1940. Our consultants address some of the documentation and reports that may not be specifically referenced under Rule 204-2 but are commonly requested by regulators. Our consultants discuss the need for written policies and procedures to address client documentation, proxy voting, and advising foreign clients. Additionally, our consultants briefly discuss some areas related to ERISA regulations that investment advisers should further discuss with an ERISA attorney if they are providing advice to ERISA covered plans. Our consultants provide tips and recommendations regarding reviews and tests related to these topics that should be performed as part of a firm’s annual compliance review.
Feb 25, 2016
$69.95
$69.95
Time: 57 minutes
Description: This was the twelfth session in our webinar series focusing on providing investment advisers with more insight into the annual compliance review process. During this webinar, RIA Compliance Consultants briefly discuss of the importance of and having written policies and procedures to address complaints, regulatory exams, regulatory investigations, and whistleblower complaints. Our consultants provide tips and recommendations for what should be covered in an investment adviser’s written policies and procedures to address each of these topics. After a brief overview of these topics, our consultants provide tips and recommendations regarding reviews and tests related to these topics that should be performed as part of a firm’s annual compliance review.
Description: This was the twelfth session in our webinar series focusing on providing investment advisers with more insight into the annual compliance review process. During this webinar, RIA Compliance Consultants briefly discuss of the importance of and having written policies and procedures to address complaints, regulatory exams, regulatory investigations, and whistleblower complaints. Our consultants provide tips and recommendations for what should be covered in an investment adviser’s written policies and procedures to address each of these topics. After a brief overview of these topics, our consultants provide tips and recommendations regarding reviews and tests related to these topics that should be performed as part of a firm’s annual compliance review.
Jan 21, 2016
$69.95
$69.95
Time: 63 minutes
Description: This was the eleventh session in our webinar series focusing on providing investment advisers with more insight into the annual compliance review process. During this webinar, RIA Compliance Consultants briefly discuss some of the books and records related to trading, portfolio management, and financial planning that are required under Rule 204-2 of the Investment Advisers Act of 1940. Our consultants also discuss some of the documentation and reports that may not be specifically referenced under Rule 204-2 but are commonly requested by regulators. Our consultants address the importance of ongoing supervision and review of these documents. Our consultants provide tips and recommendations regarding reviews and tests related to these topics that should be performed as part of a firm’s annual compliance review.
Description: This was the eleventh session in our webinar series focusing on providing investment advisers with more insight into the annual compliance review process. During this webinar, RIA Compliance Consultants briefly discuss some of the books and records related to trading, portfolio management, and financial planning that are required under Rule 204-2 of the Investment Advisers Act of 1940. Our consultants also discuss some of the documentation and reports that may not be specifically referenced under Rule 204-2 but are commonly requested by regulators. Our consultants address the importance of ongoing supervision and review of these documents. Our consultants provide tips and recommendations regarding reviews and tests related to these topics that should be performed as part of a firm’s annual compliance review.
Dec 17, 2015
$69.95
$69.95
Time: 72 minutes
Description: This was the tenth session in our webinar series focusing on providing investment advisers with more insight into the annual compliance review process. During this webinar, RIA Compliance Consultants briefly discuss an overview of the importance of and requirements for having a business continuity and disaster recovery plan as well as the need to periodically test and assess the plan. Our consultants address an investment adviser’s need to have an information security plan in place and to monitor and test the firm’s plan on an ongoing basis. Cybersecurity is an ongoing focus of regulators and is likely something that will be assessed during a regulatory exam. Our consultants provide a brief overview of the guidance that has been provided by the SEC as well as provide some best practices and tips for information security safeguards that investment advisers should have in their written plans. Our consultants provide tips and recommendations regarding reviews and tests related to these topics that should be performed as part of a firm’s annual compliance review.
Description: This was the tenth session in our webinar series focusing on providing investment advisers with more insight into the annual compliance review process. During this webinar, RIA Compliance Consultants briefly discuss an overview of the importance of and requirements for having a business continuity and disaster recovery plan as well as the need to periodically test and assess the plan. Our consultants address an investment adviser’s need to have an information security plan in place and to monitor and test the firm’s plan on an ongoing basis. Cybersecurity is an ongoing focus of regulators and is likely something that will be assessed during a regulatory exam. Our consultants provide a brief overview of the guidance that has been provided by the SEC as well as provide some best practices and tips for information security safeguards that investment advisers should have in their written plans. Our consultants provide tips and recommendations regarding reviews and tests related to these topics that should be performed as part of a firm’s annual compliance review.
Nov 19, 2015
$69.95
$69.95
Conducting an Annual Compliance Review – Session 9 – Fees & Custody, Form 13F Filings, Private Funds
Time: 70 minutes
Description: This was the ninth session in our webinar series focusing on providing investment advisers with more insight into the annual compliance review process. During this webinar, RIA Compliance Consultants discusses some of the limitations or restrictions related to fees billed to advisory clients. Our consultants briefly discuss the custody requirements under Investment Advisers Act of 1940, Rule 206(4)-2, Custody of Funds or Securities of Clients by Investment Advisers. Additionally, our consultants also provide a brief overview of the Schedule 13 filings required for some investment advisers and some of the filings or disclosures that may be required for investment advisers who are managing private funds. Our consultants provide tips and recommendations regarding reviews and tests related to these topics that should be performed as part of a firm’s annual compliance review.
Description: This was the ninth session in our webinar series focusing on providing investment advisers with more insight into the annual compliance review process. During this webinar, RIA Compliance Consultants discusses some of the limitations or restrictions related to fees billed to advisory clients. Our consultants briefly discuss the custody requirements under Investment Advisers Act of 1940, Rule 206(4)-2, Custody of Funds or Securities of Clients by Investment Advisers. Additionally, our consultants also provide a brief overview of the Schedule 13 filings required for some investment advisers and some of the filings or disclosures that may be required for investment advisers who are managing private funds. Our consultants provide tips and recommendations regarding reviews and tests related to these topics that should be performed as part of a firm’s annual compliance review.
Oct 22, 2015
$69.95
$69.95
Time: 67 minutes
Description: This was the eighth session in our webinar series focusing on providing investment advisers with more insight into the annual compliance review process. During this webinar, RIA Compliance Consultants discusses some of the basic company records, lists, and reports that should be maintained by investment advisers. Our consultants cover the records specifically referenced under the Investment Advisers Act of 1940, Rule 204-2, the Books and Records to be Maintained by Investment Advisers, as well as some of the organizational and operational records, lists, and reports not specifically referenced under Rule 204-2 but commonly requested by regulators. Our consultants provide tips and recommendations regarding records that should be reviewed during the annual compliance review process.
Description: This was the eighth session in our webinar series focusing on providing investment advisers with more insight into the annual compliance review process. During this webinar, RIA Compliance Consultants discusses some of the basic company records, lists, and reports that should be maintained by investment advisers. Our consultants cover the records specifically referenced under the Investment Advisers Act of 1940, Rule 204-2, the Books and Records to be Maintained by Investment Advisers, as well as some of the organizational and operational records, lists, and reports not specifically referenced under Rule 204-2 but commonly requested by regulators. Our consultants provide tips and recommendations regarding records that should be reviewed during the annual compliance review process.
Sep 24, 2015
$69.95
$69.95
Time: 66 minutes
Description: This was the seventh session in our webinar series focusing on providing investment advisers with more insight into the annual compliance review process. During this webinar, RIA Compliance Consultants discusses an investment adviser’s responsibilities related to electronic communications with clients, electronic record retention requirements, and the protection of client non-public, personal information. Our consultants provide an overview of the electronic recordkeeping requirements under Rule 204-2 of the Investment Advisers Act of 1940 and the requirements for protection confidential client information under Regulation S-P as well as the requirements related to privacy policy notices that must be provided to clients. Our consultants also provide tips and recommendations for ongoing testing, monitoring, and reviewing of email and other electronic communications; electronically maintained, required books and records; and the protection of confidential client information and the firm’s communication with clients regarding its privacy policy.
Description: This was the seventh session in our webinar series focusing on providing investment advisers with more insight into the annual compliance review process. During this webinar, RIA Compliance Consultants discusses an investment adviser’s responsibilities related to electronic communications with clients, electronic record retention requirements, and the protection of client non-public, personal information. Our consultants provide an overview of the electronic recordkeeping requirements under Rule 204-2 of the Investment Advisers Act of 1940 and the requirements for protection confidential client information under Regulation S-P as well as the requirements related to privacy policy notices that must be provided to clients. Our consultants also provide tips and recommendations for ongoing testing, monitoring, and reviewing of email and other electronic communications; electronically maintained, required books and records; and the protection of confidential client information and the firm’s communication with clients regarding its privacy policy.
Aug 20, 2015
$69.95
$69.95
Time: 64 minutes
Description: This was the sixth session in our webinar series focusing on providing investment advisers with more insight into the annual compliance review process. During this webinar, RIA Compliance Consultants discusses an investment adviser’s responsibilities when establishing solicitor arrangements or serving as a solicitor. Additionally, we discuss the supervisory responsibilities related to investment advisers using service providers to assist with providing services to clients or performing ongoing compliance and regulatory responsibilities. We provide a brief overview of the requirements for solicitor arrangements under Rule 206(4)-3 of the Investment Advisers Act of 1940. Our consultant also provide recommendations for ongoing review, monitoring, and supervision of solicitor arrangements and service provider due diligence as well as what should be reviewed and tested as part of the firm’s annual compliance review process. Participation in prior sessions of our webinar series is not required in order to benefit from attending this webinar session.
Description: This was the sixth session in our webinar series focusing on providing investment advisers with more insight into the annual compliance review process. During this webinar, RIA Compliance Consultants discusses an investment adviser’s responsibilities when establishing solicitor arrangements or serving as a solicitor. Additionally, we discuss the supervisory responsibilities related to investment advisers using service providers to assist with providing services to clients or performing ongoing compliance and regulatory responsibilities. We provide a brief overview of the requirements for solicitor arrangements under Rule 206(4)-3 of the Investment Advisers Act of 1940. Our consultant also provide recommendations for ongoing review, monitoring, and supervision of solicitor arrangements and service provider due diligence as well as what should be reviewed and tested as part of the firm’s annual compliance review process. Participation in prior sessions of our webinar series is not required in order to benefit from attending this webinar session.
Jul 23, 2015
$69.95
$69.95
Time: 64 minutes
Description: This is the fifth session in our webinar series focusing on providing investment advisers with more insight into the annual compliance review process. During this webinar, RIA Compliance Consultants discusses an investment adviser’s responsibilities for supervising advertising and social media. We provide a brief review of Rule 206(4)-1 under the Investment Advisers Act of 1940 and the related books and records requirements under Rule 204-2. Our consultants also provide recommendations for ongoing supervision and monitoring of advertising and social media as well as examples of what should be reviewed and tested as part of the firm’s annual compliance review process. Participation in prior sessions of our webinar series is not required in order to benefit from attending this webinar session.
Description: This is the fifth session in our webinar series focusing on providing investment advisers with more insight into the annual compliance review process. During this webinar, RIA Compliance Consultants discusses an investment adviser’s responsibilities for supervising advertising and social media. We provide a brief review of Rule 206(4)-1 under the Investment Advisers Act of 1940 and the related books and records requirements under Rule 204-2. Our consultants also provide recommendations for ongoing supervision and monitoring of advertising and social media as well as examples of what should be reviewed and tested as part of the firm’s annual compliance review process. Participation in prior sessions of our webinar series is not required in order to benefit from attending this webinar session.
Jun 25, 2015
$69.95
$69.95
Time: 70 minutes
Description: This was the fourth session in our webinar series focusing on providing investment advisers with more insight into the annual compliance review process. During this webinar, we discuss the supervision responsibilities related to having more than one investment adviser representative licensed under an adviser firm. Additionally, we discuss the importance of having strong supervisory policies and procedures and the importance of providing initial and ongoing training related to the firm’s policies and procedures. One specific area that is discussed during the webinar will be the supervision of investment adviser representatives located in branch office locations. This was one of the areas identified as a 2015 examination priority by the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission. We also talk about the supervision of outside business activities for the firm and it supervised persons. One of our senior compliance consultants discusses ongoing supervisory responsibilities and provides examples of areas that should be reviewed and tested as part of the annual compliance review process. Participation in prior sessions of our webinar series is not required in order to benefit from viewing this webinar session.
Description: This was the fourth session in our webinar series focusing on providing investment advisers with more insight into the annual compliance review process. During this webinar, we discuss the supervision responsibilities related to having more than one investment adviser representative licensed under an adviser firm. Additionally, we discuss the importance of having strong supervisory policies and procedures and the importance of providing initial and ongoing training related to the firm’s policies and procedures. One specific area that is discussed during the webinar will be the supervision of investment adviser representatives located in branch office locations. This was one of the areas identified as a 2015 examination priority by the Office of Compliance Inspections and Examinations of the Securities and Exchange Commission. We also talk about the supervision of outside business activities for the firm and it supervised persons. One of our senior compliance consultants discusses ongoing supervisory responsibilities and provides examples of areas that should be reviewed and tested as part of the annual compliance review process. Participation in prior sessions of our webinar series is not required in order to benefit from viewing this webinar session.
May 14, 2015
$69.95
$69.95
Time: 71 minutes
Description: This is the third session in our webinar series focusing on providing investment advisers with more insight into the annual compliance review process. During this webinar, we discuss the requirements under Rule 204A-1 of the Investment Adviser Act of 1940 for investment advisers to establish, maintain, and enforce a written code of ethics. We also address the need for investment advisers to develop strong policies and procedures to prevent insider trading and for supervising personal securities transactions. We discuss the types of documentation that should be maintained, and the types of reviews, testing, training, and monitoring that should be done on an ongoing basis. Participants can benefit from viewing this webinar session, if this is a topic of interest, even if they have not participated in the other sessions provided as part of our webinar series.
Description: This is the third session in our webinar series focusing on providing investment advisers with more insight into the annual compliance review process. During this webinar, we discuss the requirements under Rule 204A-1 of the Investment Adviser Act of 1940 for investment advisers to establish, maintain, and enforce a written code of ethics. We also address the need for investment advisers to develop strong policies and procedures to prevent insider trading and for supervising personal securities transactions. We discuss the types of documentation that should be maintained, and the types of reviews, testing, training, and monitoring that should be done on an ongoing basis. Participants can benefit from viewing this webinar session, if this is a topic of interest, even if they have not participated in the other sessions provided as part of our webinar series.
Apr 30, 2015
$69.95
$69.95
Time: 69 minutes
Description: This webinar was the second session in our webinar series RIA Compliance Consultants will present over the next year focusing on providing investment advisers with more insight into the annual compliance review process. During this webinar, we discuss ongoing registration, notice filing, and licensing requirements beyond the initial registration for registered investment advisers. We talk about the ongoing review, monitoring and testing that should be done in order to ensure that the investment adviser and its representatives are properly registered, notice filed, and licensed at all times. Additionally, we discuss things investment advisers should consider when referencing designations, exams, degrees, or licenses in disclosure documents or marketing materials. Investment advisers can benefit from viewing this webinar even if they have not participated in the other sessions provided as part of our webinar series.
Description: This webinar was the second session in our webinar series RIA Compliance Consultants will present over the next year focusing on providing investment advisers with more insight into the annual compliance review process. During this webinar, we discuss ongoing registration, notice filing, and licensing requirements beyond the initial registration for registered investment advisers. We talk about the ongoing review, monitoring and testing that should be done in order to ensure that the investment adviser and its representatives are properly registered, notice filed, and licensed at all times. Additionally, we discuss things investment advisers should consider when referencing designations, exams, degrees, or licenses in disclosure documents or marketing materials. Investment advisers can benefit from viewing this webinar even if they have not participated in the other sessions provided as part of our webinar series.
Mar 26, 2015
$69.95
$69.95
Time: 64 minutes
Description: This webinar kicked-off a series of webinars that RIA Compliance Consultants will present over the next year to help registered investment advisers understand the process of performing annual assessments of their written supervisory policies and procedures required by Rule 206(4)-7 under the Investment Advisers Act of 1940. RIA Compliance Consultants will host a series of webinars that will provide a more in-depth look at what investment advisers should consider as they are performing an assessment of their compliance program. We will provide specific examples of the areas that should be assessed, questions that the firm should be asking itself and its employees as part of the review process, and testing that should be performed as part of the assessment process. Both newly registered investment advisers and firms that have been registered for some time can benefit from participating in these webinars since we will address not only the requirements under the Investment Advisers Act of 1940 but also an investment adviser’s ongoing obligations as it relates to these requirements. Investment advisers can benefit from participating in the entire series of webinars or by choosing only those individual webinars that they feel will be most beneficial to their firm. During this first webinar, RIA Compliance Consultants discusses the requirements of Rule 206(4)-7. We then provide an overview of what it means to perform an assessment, the purpose for performing one, and the actions and parties that should be involved in the assessment process. We also provide tips for conducting the review and documenting the findings and corrective actions.
Description: This webinar kicked-off a series of webinars that RIA Compliance Consultants will present over the next year to help registered investment advisers understand the process of performing annual assessments of their written supervisory policies and procedures required by Rule 206(4)-7 under the Investment Advisers Act of 1940. RIA Compliance Consultants will host a series of webinars that will provide a more in-depth look at what investment advisers should consider as they are performing an assessment of their compliance program. We will provide specific examples of the areas that should be assessed, questions that the firm should be asking itself and its employees as part of the review process, and testing that should be performed as part of the assessment process. Both newly registered investment advisers and firms that have been registered for some time can benefit from participating in these webinars since we will address not only the requirements under the Investment Advisers Act of 1940 but also an investment adviser’s ongoing obligations as it relates to these requirements. Investment advisers can benefit from participating in the entire series of webinars or by choosing only those individual webinars that they feel will be most beneficial to their firm. During this first webinar, RIA Compliance Consultants discusses the requirements of Rule 206(4)-7. We then provide an overview of what it means to perform an assessment, the purpose for performing one, and the actions and parties that should be involved in the assessment process. We also provide tips for conducting the review and documenting the findings and corrective actions.
Feb 26, 2015
$69.95
$69.95
Time: 66 minutes
Description: During this webinar, we addressed the examination priorities for 2015 that were released in January 2015 by the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC). The examination priorities release addressed a variety of issues that affect several different financial institutions. RIA Compliance Consultants presented this webinar to provide registered investment advisers with an overview of the priorities addressed in the SEC’s release. We also provided investment advisers with further insight into the examination areas as they specifically relate to registered investment advisers. Additionally, we provide you with tips and best practices for how your investment adviser can prepare itself to address these areas should the investment adviser be subject to an examination. OCIE shares its examination priorities to help promote compliance. This webinar was presented to help an investment adviser gain a better understanding of what the examiners are looking for so that your investment adviser can be proactive in making sure that it has the proper controls in place. Although the webinar addresses SEC exam priorities, state registered firms are subject to examinations from state regulatory authorities and can also benefit from viewing this webinar and making sure that these areas are addressed within their firms’ compliance programs.
Description: During this webinar, we addressed the examination priorities for 2015 that were released in January 2015 by the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission (SEC). The examination priorities release addressed a variety of issues that affect several different financial institutions. RIA Compliance Consultants presented this webinar to provide registered investment advisers with an overview of the priorities addressed in the SEC’s release. We also provided investment advisers with further insight into the examination areas as they specifically relate to registered investment advisers. Additionally, we provide you with tips and best practices for how your investment adviser can prepare itself to address these areas should the investment adviser be subject to an examination. OCIE shares its examination priorities to help promote compliance. This webinar was presented to help an investment adviser gain a better understanding of what the examiners are looking for so that your investment adviser can be proactive in making sure that it has the proper controls in place. Although the webinar addresses SEC exam priorities, state registered firms are subject to examinations from state regulatory authorities and can also benefit from viewing this webinar and making sure that these areas are addressed within their firms’ compliance programs.
Feb 12, 2015
$69.95
$69.95
Time: 80 minutes
Description: During this webinar RIA Compliance Consultants reviews the Form ADV items that are required to be updated on an annual basis. Our consultants discuss some of the common mistakes we see when investment advisers are filing their annual amendments. Additionally, our consultants address some of the other amendments and filings that may need to be made with your annual amendment.
Description: During this webinar RIA Compliance Consultants reviews the Form ADV items that are required to be updated on an annual basis. Our consultants discuss some of the common mistakes we see when investment advisers are filing their annual amendments. Additionally, our consultants address some of the other amendments and filings that may need to be made with your annual amendment.
Jan 22, 2015
$69.95
$69.95
Time: 70 minutes
Description: During this webinar, RIA Compliance Consultants discusses a variety of topics related to the ongoing regulatory requirements for investment advisers including, the Form ADV Annual Amendment filing, the annual offer or delivery of Form ADV, the annual privacy policy delivery, a review of outside business activities of IARs, ongoing due diligence of third party service providers, the assessment of supervisory programs, code of ethics requirements, and personal securities transactions supervision. Additionally, we discuss some of the key areas of regulatory focus during 2014. Our consultants will provide tips for preparing customized compliance calendars, checklists, and forms to assist investment advisers with meeting annual regulatory requirements.
Description: During this webinar, RIA Compliance Consultants discusses a variety of topics related to the ongoing regulatory requirements for investment advisers including, the Form ADV Annual Amendment filing, the annual offer or delivery of Form ADV, the annual privacy policy delivery, a review of outside business activities of IARs, ongoing due diligence of third party service providers, the assessment of supervisory programs, code of ethics requirements, and personal securities transactions supervision. Additionally, we discuss some of the key areas of regulatory focus during 2014. Our consultants will provide tips for preparing customized compliance calendars, checklists, and forms to assist investment advisers with meeting annual regulatory requirements.
Nov 20, 2014
$69.95
$69.95
Time: 67 minutes
Description: RIA Compliance Consultants presented this webinar to address the importance of information security as it pertains to registered investment advisers. Our consultants discuss the continued and increasing regulatory focus on investment advisers developing, maintaining, monitoring and testing written information security programs designed to protect clients’ assets and confidential client information. We also discuss the National Examination Program Risk Alert issued in April 2014 by the SEC’s Office of Compliance Inspections and Examinations that provides a sample list of information regarding cybersecurity that may be requested during an SEC examination. Additionally, we provide some tips and best practices regarding information security safeguards that investment advisers should include in their written plans.
Description: RIA Compliance Consultants presented this webinar to address the importance of information security as it pertains to registered investment advisers. Our consultants discuss the continued and increasing regulatory focus on investment advisers developing, maintaining, monitoring and testing written information security programs designed to protect clients’ assets and confidential client information. We also discuss the National Examination Program Risk Alert issued in April 2014 by the SEC’s Office of Compliance Inspections and Examinations that provides a sample list of information regarding cybersecurity that may be requested during an SEC examination. Additionally, we provide some tips and best practices regarding information security safeguards that investment advisers should include in their written plans.
Oct 30, 2014
$69.95
$69.95
Time: 66 minutes
Description: RIA Compliance Consultants presented this webinar to help investment advisers understand what it means to have a “culture of compliance.” During this webinar, our consultants discuss the importance of compliance beginning with the “tone at the top” and working its way throughout the organization. We provide insight into ways you can develop a strong compliance culture beyond just developing strong internal policies and procedures. We also discuss the importance of educating all employees both at the time of employment and on an ongoing basis. Additionally, we talk about holding an annual compliance meeting and what should an investment adviser should consider covering at these meetings.
Description: RIA Compliance Consultants presented this webinar to help investment advisers understand what it means to have a “culture of compliance.” During this webinar, our consultants discuss the importance of compliance beginning with the “tone at the top” and working its way throughout the organization. We provide insight into ways you can develop a strong compliance culture beyond just developing strong internal policies and procedures. We also discuss the importance of educating all employees both at the time of employment and on an ongoing basis. Additionally, we talk about holding an annual compliance meeting and what should an investment adviser should consider covering at these meetings.
Sep 25, 2014
$69.95
$69.95
Time: 66 minutes
Description: RIA Compliance Consultants presented this webinar to discuss the compliance challenges and conflicts of interest faced by independent registered investment advisers that allow their investment adviser representatives to also conduct brokerage business as registered representatives of an independent broker-dealer. During this webinar, our consultants discuss the importance of clearly understanding the compliance differences between these two roles and implementing strong compliance policies and procedures to address the risks and conflicts of interest associated with offering both business models. We discuss the importance of communicating to clients the difference in the role of an investment adviser representative versus a registered representative as well as providing full disclosure regarding the conflicts or potential conflicts of interest present because of a representative’s ability to act in both capacities. We also discuss the focus the SEC is placing, as indicated in the SEC National Examination Program Examination Priorities for 2014, on the risks associated with being dually registered in these capacities. Additionally, our compliance consultants provide some tips and best practices for developing a compliance program to address these risks and conflicts
Description: RIA Compliance Consultants presented this webinar to discuss the compliance challenges and conflicts of interest faced by independent registered investment advisers that allow their investment adviser representatives to also conduct brokerage business as registered representatives of an independent broker-dealer. During this webinar, our consultants discuss the importance of clearly understanding the compliance differences between these two roles and implementing strong compliance policies and procedures to address the risks and conflicts of interest associated with offering both business models. We discuss the importance of communicating to clients the difference in the role of an investment adviser representative versus a registered representative as well as providing full disclosure regarding the conflicts or potential conflicts of interest present because of a representative’s ability to act in both capacities. We also discuss the focus the SEC is placing, as indicated in the SEC National Examination Program Examination Priorities for 2014, on the risks associated with being dually registered in these capacities. Additionally, our compliance consultants provide some tips and best practices for developing a compliance program to address these risks and conflicts
Aug 21, 2014
$69.95
$69.95
Time: 54 minutes
Description: Most investment advisers will use some type of service provider to assist with providing services to advisory clients or performing ongoing compliance and regulatory responsibilities. Utilizing a service provider does not eliminate an investment adviser’s fiduciary and regulatory responsibilities for the outsourced services. Investment advisers must develop ways to assess, supervise, and monitor service providers and the activities delegated to service providers. RIA Compliance Consultants presented this webinar to discuss the importance of performing due diligence on all service providers utilized by the investment adviser. During this webinar, our consultants provided guidance on developing service provider due diligence policies and procedures. We also provided recommendations on the frequency of due diligence reviews and what should be covered during in the initial and ongoing due diligence process.
Description: Most investment advisers will use some type of service provider to assist with providing services to advisory clients or performing ongoing compliance and regulatory responsibilities. Utilizing a service provider does not eliminate an investment adviser’s fiduciary and regulatory responsibilities for the outsourced services. Investment advisers must develop ways to assess, supervise, and monitor service providers and the activities delegated to service providers. RIA Compliance Consultants presented this webinar to discuss the importance of performing due diligence on all service providers utilized by the investment adviser. During this webinar, our consultants provided guidance on developing service provider due diligence policies and procedures. We also provided recommendations on the frequency of due diligence reviews and what should be covered during in the initial and ongoing due diligence process.
Jul 24, 2014
$69.95
$69.95
Time: 69 minutes
Description: Marketing/Performance was one of the areas of focus specifically referenced for investment advisers in the SEC’s National Examination Program Examination Priorities for 2014. RIA Compliance Consultants presented this webinar to help investment advisers gain a better understanding of the compliance requirements for marketing and advertising. During this webinar, our consultants discuss Rule 206(4)-1 of the Investment Advisers Act of 1940, which specifically addresses prohibited practices relating to advertisements by investment advisers. Additionally, we discuss some of the guidance that has been provided through SEC no-action letters and enforcement actions related to marketing materials used by investment advisers. Some of the requirements specifically related to performance advertising and the use of social media are addressed in this webinar. Our consultants also provide you with some tips and best practices for preparing, supervising, and approving marketing materials.
Description: Marketing/Performance was one of the areas of focus specifically referenced for investment advisers in the SEC’s National Examination Program Examination Priorities for 2014. RIA Compliance Consultants presented this webinar to help investment advisers gain a better understanding of the compliance requirements for marketing and advertising. During this webinar, our consultants discuss Rule 206(4)-1 of the Investment Advisers Act of 1940, which specifically addresses prohibited practices relating to advertisements by investment advisers. Additionally, we discuss some of the guidance that has been provided through SEC no-action letters and enforcement actions related to marketing materials used by investment advisers. Some of the requirements specifically related to performance advertising and the use of social media are addressed in this webinar. Our consultants also provide you with some tips and best practices for preparing, supervising, and approving marketing materials.
Jun 19, 2014
$69.95
$69.95
Time: 53 minutes
Description: If your investment adviser will act as a solicitor for other investment advisers or third-party money managers or it will have arrangements where it will pay a third-party for client referrals, this webinar will help you further understand the initial and ongoing requirements of having solicitor arrangements. During this webinar, RIA Compliance Consultants reviews the requirements of SEC Rule 206(4)-3 and the registration requirements of some state securities regulators. Additionally, one of our consultants discusses some best supervisory practices for investment advisers that have solicitor arrangements.
Description: If your investment adviser will act as a solicitor for other investment advisers or third-party money managers or it will have arrangements where it will pay a third-party for client referrals, this webinar will help you further understand the initial and ongoing requirements of having solicitor arrangements. During this webinar, RIA Compliance Consultants reviews the requirements of SEC Rule 206(4)-3 and the registration requirements of some state securities regulators. Additionally, one of our consultants discusses some best supervisory practices for investment advisers that have solicitor arrangements.
May 15, 2014
$69.95
$69.95
Time: 54 minutes
Description: During this webinar, RIA Compliance Consultants discusses the requirement for investment advisers to adopt a Code of Ethics under Rule 204A-1 of the Investment Advisers Act of 1940 and similar state requirements. Our consultants discuss the requirements under Rule 204A-1, which includes personal securities transaction supervision and monitoring. In addition, our consultants discuss policies investment advisers should consider related to political contributions requirements (Pay to Play), gifts and entertainment, and whistleblower provisions.
Description: During this webinar, RIA Compliance Consultants discusses the requirement for investment advisers to adopt a Code of Ethics under Rule 204A-1 of the Investment Advisers Act of 1940 and similar state requirements. Our consultants discuss the requirements under Rule 204A-1, which includes personal securities transaction supervision and monitoring. In addition, our consultants discuss policies investment advisers should consider related to political contributions requirements (Pay to Play), gifts and entertainment, and whistleblower provisions.
Mar 20, 2014
$69.95
$69.95
Time: 60 minutes
Description: During this webinar, RIA Compliance Consultants discusses the 2014 SEC examination priorities for investment advisers. Our consultants provide an overview of the examination process and tips on steps a registered investment adviser can take to make sure that they are ready at all times for a regulatory examination. We also discuss the types of information and documentation that may be requested during an examination and some of the common regulatory deficiencies found during the examination process.
Description: During this webinar, RIA Compliance Consultants discusses the 2014 SEC examination priorities for investment advisers. Our consultants provide an overview of the examination process and tips on steps a registered investment adviser can take to make sure that they are ready at all times for a regulatory examination. We also discuss the types of information and documentation that may be requested during an examination and some of the common regulatory deficiencies found during the examination process.
Feb 20, 2014
$69.95
$69.95
Time: 65 minutes
Description: During this webinar, RIA Compliance Consultants provides an overview of ongoing regulatory requirements for investment advisers. Our consultants provide tips for preparing a customized compliance calendars, checklists, and forms to assist investment advisers with meeting annual regulatory requirements. Our consultants discuss a variety of topics, including , the Form ADV Annual Amendment filing, the annual offer or delivery of Form ADV, the annual privacy policy delivery, a review of outside business activities of IARs, ongoing due diligence of third party service providers, the assessment of supervisory programs, code of ethics requirements, personal securities transactions supervisor, and compliance training.
Description: During this webinar, RIA Compliance Consultants provides an overview of ongoing regulatory requirements for investment advisers. Our consultants provide tips for preparing a customized compliance calendars, checklists, and forms to assist investment advisers with meeting annual regulatory requirements. Our consultants discuss a variety of topics, including , the Form ADV Annual Amendment filing, the annual offer or delivery of Form ADV, the annual privacy policy delivery, a review of outside business activities of IARs, ongoing due diligence of third party service providers, the assessment of supervisory programs, code of ethics requirements, personal securities transactions supervisor, and compliance training.
Dec 12, 2013
$69.95
$69.95
Time: 63 minutes
Description: During this webinar, RIA Compliance Consultants discuss the requirement of Rule 206(4)-7 under the Investment Advisers Act of 1940 for an investment adviser to conduct an annual compliance review of the adequacy of the investment adviser’s written compliance policies and procedures. Our consultants discuss who should be involved in the annual compliance review process and the purpose of conducting the review. We also provide tactical tips for conducting an annual compliance review and documenting findings.
Description: During this webinar, RIA Compliance Consultants discuss the requirement of Rule 206(4)-7 under the Investment Advisers Act of 1940 for an investment adviser to conduct an annual compliance review of the adequacy of the investment adviser’s written compliance policies and procedures. Our consultants discuss who should be involved in the annual compliance review process and the purpose of conducting the review. We also provide tactical tips for conducting an annual compliance review and documenting findings.
Nov 14, 2013
$69.95
$69.95
Time: 60 minutes
Description: During this webinar, RIA Compliance Consultants provides an overview of the requirement for an investment adviser to develop written supervisory policies and procedures pursuant to Rule 206(4)-7 under the Investment Advisers Act of 1940. Our consultants discuss the importance of and process for developing and maintaining a customized program to address the specific risks and conflicts of interest associated with each firm’s business model, outside business activities, and affiliations. Our consultants also discuss the value of ongoing monitoring and testing in addition to the annual compliance review process in order to ensure that the policies and procedures are written to reasonably prevent violations of the Investment Advisers Act of 1940 and the rules thereunder. Additionally, our consultants discuss the need to make sure that all supervised persons understand and comply with the firm’s policies and procedures in order to promote a strong compliance culture throughout the firm.
Description: During this webinar, RIA Compliance Consultants provides an overview of the requirement for an investment adviser to develop written supervisory policies and procedures pursuant to Rule 206(4)-7 under the Investment Advisers Act of 1940. Our consultants discuss the importance of and process for developing and maintaining a customized program to address the specific risks and conflicts of interest associated with each firm’s business model, outside business activities, and affiliations. Our consultants also discuss the value of ongoing monitoring and testing in addition to the annual compliance review process in order to ensure that the policies and procedures are written to reasonably prevent violations of the Investment Advisers Act of 1940 and the rules thereunder. Additionally, our consultants discuss the need to make sure that all supervised persons understand and comply with the firm’s policies and procedures in order to promote a strong compliance culture throughout the firm.
Oct 3, 2013
$69.95
$69.95
Time: 72 minutes
Description: During this webinar, RIA Compliance Consultants review Rule 204-2 of the Investment Advisers Act of 1940 to help provide investment advisers with a better understanding of what books and records investment advisers are required to retain and for how long. Our consultants provide an overview of the types of files, documents, and reports that may be requested during a regulatory exam and discuss some of the common deficiencies related to Rule 204-2. Additionally, we provide a brief discussion on the requirement for maintaining records electronically.
Description: During this webinar, RIA Compliance Consultants review Rule 204-2 of the Investment Advisers Act of 1940 to help provide investment advisers with a better understanding of what books and records investment advisers are required to retain and for how long. Our consultants provide an overview of the types of files, documents, and reports that may be requested during a regulatory exam and discuss some of the common deficiencies related to Rule 204-2. Additionally, we provide a brief discussion on the requirement for maintaining records electronically.
Sep 19, 2013
FREE
FREE
Time: 60 minutes
Description: Does your investment adviser firm have custody? Most SEC registered investment adviser firms are considered to have custody, but many firms fail to recognize their custody status and, worse yet, some firms fail to comply with the minimum requirements for investment adviser firms with custody. This webinar will dissect the SEC’s definition of custody and analyze what triggers the additional requirements for investment adviser firms with custody. Our consultants discuss many common investment adviser practices that result in custody as defined by the SEC and answer pressing questions about the rule's impact on investment advisers. We will focus upon the deduction of advisory fees, acceptance of third-party checks from clients, trustee relationships, and other common custody situations for investment adviser firms.
Description: Does your investment adviser firm have custody? Most SEC registered investment adviser firms are considered to have custody, but many firms fail to recognize their custody status and, worse yet, some firms fail to comply with the minimum requirements for investment adviser firms with custody. This webinar will dissect the SEC’s definition of custody and analyze what triggers the additional requirements for investment adviser firms with custody. Our consultants discuss many common investment adviser practices that result in custody as defined by the SEC and answer pressing questions about the rule's impact on investment advisers. We will focus upon the deduction of advisory fees, acceptance of third-party checks from clients, trustee relationships, and other common custody situations for investment adviser firms.
Aug 15, 2013
$69.95
$69.95
Time: 58 minutes
Description: Conducting a risk assessment/risk inventory is the first critical step involved in an investment adviser developing strong compliance policies and procedures. A review of the risk assessment/risk inventory should be done as part of an investment adviser’s assessment of it compliance policies and procedures, which is required to be done at least annually. During this webinar RIA Compliance Consultants discuss the need for and value of the risk assessment process. Our consultants provide insight regarding the process for identifying risks and the types of questions an investment adviser should ask during the risk assessment process. Additionally, we provide tips for documenting the risk assessment/risk inventory.
Description: Conducting a risk assessment/risk inventory is the first critical step involved in an investment adviser developing strong compliance policies and procedures. A review of the risk assessment/risk inventory should be done as part of an investment adviser’s assessment of it compliance policies and procedures, which is required to be done at least annually. During this webinar RIA Compliance Consultants discuss the need for and value of the risk assessment process. Our consultants provide insight regarding the process for identifying risks and the types of questions an investment adviser should ask during the risk assessment process. Additionally, we provide tips for documenting the risk assessment/risk inventory.
Jul 25, 2013
$69.95
$69.95
Time: 59 minutes
Description: During this webinar, RIA Compliance Consultants discuss the regulatory compliance requirements related to investment advisers’ use of social media websites and email. Our consultants provide guidance regarding record retention requirements and developing policies and procedures related to using social media websites and communicating with your clients via email. Additionally, we discuss the need to address the supervision and monitoring of email communication and the personal use of social media websites by investment adviser representatives.
Description: During this webinar, RIA Compliance Consultants discuss the regulatory compliance requirements related to investment advisers’ use of social media websites and email. Our consultants provide guidance regarding record retention requirements and developing policies and procedures related to using social media websites and communicating with your clients via email. Additionally, we discuss the need to address the supervision and monitoring of email communication and the personal use of social media websites by investment adviser representatives.
Jun 20, 2013
$69.95
$69.95
Description: During this webinar, securities attorney Bryan Hill will share his insights about key provisions and disclosures that should be included in an investment advisory agreement. Additionally, Mr. Hill will review state and federal regulatory requirements, common mistakes and best practices for an investment advisor to consider when preparing its client agreement. (Please note RIA Compliance Consultants is not a law firm.)
Jun 6, 2013
$69.95
$69.95
Time: 71 minutes
Description: During this webinar RIA Compliance Consultants provide a summary and analysis of some recent SEC enforcement actions. Our consultants discuss the lessons that can be learned from these enforcement actions and provide guidance regarding policies and procedures an investment adviser could implement to help it avoid ending up with a similar problem.
Description: During this webinar RIA Compliance Consultants provide a summary and analysis of some recent SEC enforcement actions. Our consultants discuss the lessons that can be learned from these enforcement actions and provide guidance regarding policies and procedures an investment adviser could implement to help it avoid ending up with a similar problem.
May 9, 2013
$69.95
$69.95
Time: 65 minutes
Description: During this webinar, RIA Compliance Consultants provide an overview of investment advisors' ongoing regulatory requirements. Our consultants provide tips for preparing a compliance calendar, checklists, and forms to assist investment advisors with meeting the annual regulatory requirements. Our consultants discuss a variety of topics, including, the Form ADV Annual Amendment filing, the annual offer or delivery of the Form ADV, the annual privacy policy delivery, review of outside business activities of IARs, ongoing due diligence of third party service providers, the assessment of supervisory programs, code of ethics requirements, personal securities transactions supervision, and compliance training.
Description: During this webinar, RIA Compliance Consultants provide an overview of investment advisors' ongoing regulatory requirements. Our consultants provide tips for preparing a compliance calendar, checklists, and forms to assist investment advisors with meeting the annual regulatory requirements. Our consultants discuss a variety of topics, including, the Form ADV Annual Amendment filing, the annual offer or delivery of the Form ADV, the annual privacy policy delivery, review of outside business activities of IARs, ongoing due diligence of third party service providers, the assessment of supervisory programs, code of ethics requirements, personal securities transactions supervision, and compliance training.
Dec 6, 2012
$69.95
$69.95
Time: 46 minutes
Description: During this webinar, RIA Compliance Consultants review information security as it pertains to registered investment advisers' requirement to protect confidential client information. Our consultants discuss the information security requirements under Rule 30 of Regulation S-P issued by the U.S. Securities and Exchange Commission ("SEC") and review certain key SEC enforcement actions. We also discuss the importance of establishing a written information security program designed to protect confidential client information and our consultants expand on specific information security safeguards that should be included in the written plan. Additionally, our consultants offer various best practices to meet the expectation to protect client data.
Description: During this webinar, RIA Compliance Consultants review information security as it pertains to registered investment advisers' requirement to protect confidential client information. Our consultants discuss the information security requirements under Rule 30 of Regulation S-P issued by the U.S. Securities and Exchange Commission ("SEC") and review certain key SEC enforcement actions. We also discuss the importance of establishing a written information security program designed to protect confidential client information and our consultants expand on specific information security safeguards that should be included in the written plan. Additionally, our consultants offer various best practices to meet the expectation to protect client data.
Sep 13, 2012
$69.95
$69.95
Time: 70 minutes
Description: During this webinar RIA Compliance Consultant reviews the Form U4-Uniform Application for Securities Industry Registration or Transfer and the Form U5-Uniform Termination Notice for Securities Industry Registration. This presentation includes an overview of the information that is required to be submitted via the Form U4 and the Form U5 and a review of triggering events for submission of those forms. Additionally, our consultants provide discussion of the disclosure questions and corresponding Disclosure Reporting Pages (DRPs) and an explanation of the Investment Adviser Public Disclosure (IAPD) website.
Description: During this webinar RIA Compliance Consultant reviews the Form U4-Uniform Application for Securities Industry Registration or Transfer and the Form U5-Uniform Termination Notice for Securities Industry Registration. This presentation includes an overview of the information that is required to be submitted via the Form U4 and the Form U5 and a review of triggering events for submission of those forms. Additionally, our consultants provide discussion of the disclosure questions and corresponding Disclosure Reporting Pages (DRPs) and an explanation of the Investment Adviser Public Disclosure (IAPD) website.
Aug 23, 2012
$69.95
$69.95
Time: 72 minutes
Description: During this webinar hosted by RIA Compliance Consultants and presented by our affiliated law firm Bryan Hill Attorney at Law, the Final Rule "Reasonable Contract or Arrangement Under Section 408(b)(2) Fee Disclosure" is reviewed. This final rule establishes specific disclosure obligations for plan service providers, including investment advisers, to ensure that responsible plan fiduciaries are provided the information they need to make better decisions when selecting and monitoring service providers for their plans. We provide an overview of the 408(b)(2) regulation, including a review what services providers are covered, what plans are covered, what disclosure information is required to be provided by investment advisers to plan fiduciaries, and how the disclosure information must be provided.
Description: During this webinar hosted by RIA Compliance Consultants and presented by our affiliated law firm Bryan Hill Attorney at Law, the Final Rule "Reasonable Contract or Arrangement Under Section 408(b)(2) Fee Disclosure" is reviewed. This final rule establishes specific disclosure obligations for plan service providers, including investment advisers, to ensure that responsible plan fiduciaries are provided the information they need to make better decisions when selecting and monitoring service providers for their plans. We provide an overview of the 408(b)(2) regulation, including a review what services providers are covered, what plans are covered, what disclosure information is required to be provided by investment advisers to plan fiduciaries, and how the disclosure information must be provided.
May 10, 2012
$69.95
$69.95
Time: 85 minutes
Description: During this webinar, RIA Compliance Consultants review Rule 204-2 of the Investment Advisors Act of 1940 to help provide investment advisors with a better understanding of what books and records investment advisors are required to retain and for how long. Our consultants do not simply review Rule 204-2, but instead provide an overview of the files, documents and reports a regulator may request during an examination of an investment advisor. Our consultants also discuss some of the common investment advisor deficiencies relating to Rule 204-2.
Description: During this webinar, RIA Compliance Consultants review Rule 204-2 of the Investment Advisors Act of 1940 to help provide investment advisors with a better understanding of what books and records investment advisors are required to retain and for how long. Our consultants do not simply review Rule 204-2, but instead provide an overview of the files, documents and reports a regulator may request during an examination of an investment advisor. Our consultants also discuss some of the common investment advisor deficiencies relating to Rule 204-2.
Apr 12, 2016
$69.95
$69.95
Time: 76 minutes
Description: During this webinar, RIA Compliance Consultants discuss the use of performance advertising by investment advisers. Our Consultants provide discussion on investment adviser advertising, including performance advertising, in relation to regulations under Section 206(4) and Rule 206(4)-1 of the Investment Advisers of 1940 ("Advisers Act."). Investment advisers are not required by law to disclose performance; however, if an investment adviser does present performance data, RIA Compliance Consultants discuss how the data must be presented in order to avoid potential regulatory violations as required by the U.S. Securities and Exchanges Commission.
Description: During this webinar, RIA Compliance Consultants discuss the use of performance advertising by investment advisers. Our Consultants provide discussion on investment adviser advertising, including performance advertising, in relation to regulations under Section 206(4) and Rule 206(4)-1 of the Investment Advisers of 1940 ("Advisers Act."). Investment advisers are not required by law to disclose performance; however, if an investment adviser does present performance data, RIA Compliance Consultants discuss how the data must be presented in order to avoid potential regulatory violations as required by the U.S. Securities and Exchanges Commission.
Mar 15, 2012
$69.95
$69.95
Time: 55 minutes
Description: During this webinar RIA Compliance Consultants provides an overview of Rule 204A-1 of the Investment Advisers Act of 1940 ("Advisers Act") which requires investment adviser firm's to develop and implement a Code of Ethics. The primary focus of this webinar is to provide investment adviser representatives and associate persons of the firm with an understanding of why this rule exists and how it affects them. This webinar discusses the fiduciary duties of investment advisers as it relates to Section 206 of the Advisers Act, including details on what it means to be a fiduciary, with supplemental examples of unethical behavior. This webinar is intended to serve as an education tool designed to assist investment advisers in providing on-going ethics training to its investment adviser representatives.
Description: During this webinar RIA Compliance Consultants provides an overview of Rule 204A-1 of the Investment Advisers Act of 1940 ("Advisers Act") which requires investment adviser firm's to develop and implement a Code of Ethics. The primary focus of this webinar is to provide investment adviser representatives and associate persons of the firm with an understanding of why this rule exists and how it affects them. This webinar discusses the fiduciary duties of investment advisers as it relates to Section 206 of the Advisers Act, including details on what it means to be a fiduciary, with supplemental examples of unethical behavior. This webinar is intended to serve as an education tool designed to assist investment advisers in providing on-going ethics training to its investment adviser representatives.
Feb 9, 2012
$69.95
$69.95
Time: 56 minutes
Description: During this webinar, RIA Compliance Consultants discuss the rule changes and new rules affecting investment advisors with between $25 million and $100 million in assets under management ("mid-sized advisors") that were recently adopted by the Securities and Exchange Commission under the Investment Advisers Act of 1940 to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Our consultants provide an overview of the new rules and changes to existing rules and discuss timing for any new requirements under these rules. We also discuss which investment advisors will be affected by these changes and what actions these investment advisors will need to take in order to comply with the new requirements to switch from SEC to state registration.
Description: During this webinar, RIA Compliance Consultants discuss the rule changes and new rules affecting investment advisors with between $25 million and $100 million in assets under management ("mid-sized advisors") that were recently adopted by the Securities and Exchange Commission under the Investment Advisers Act of 1940 to implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Our consultants provide an overview of the new rules and changes to existing rules and discuss timing for any new requirements under these rules. We also discuss which investment advisors will be affected by these changes and what actions these investment advisors will need to take in order to comply with the new requirements to switch from SEC to state registration.
Dec 15, 2011
FREE
FREE
Time: 75 minutes
Description: During this webinar, RIA Compliance Consultants provides an overview of the ongoing regulatory requirements for an investment adviser. Our consultants provide tips for preparing a compliance calendar, checklists, and forms to assist investment advisors with meeting the annual regulatory requirements. Our consultants discuss a variety of topics, including, the Form ADV Annual Amendment filing, the annual offer or delivery of the Form ADV; the annual privacy policy delivery, review of outside business activities of IARs, supervision of solicitor arrangements, the assessment of supervisory programs, update of code of ethics, the review of personal securities transactions, and compliance training.
Description: During this webinar, RIA Compliance Consultants provides an overview of the ongoing regulatory requirements for an investment adviser. Our consultants provide tips for preparing a compliance calendar, checklists, and forms to assist investment advisors with meeting the annual regulatory requirements. Our consultants discuss a variety of topics, including, the Form ADV Annual Amendment filing, the annual offer or delivery of the Form ADV; the annual privacy policy delivery, review of outside business activities of IARs, supervision of solicitor arrangements, the assessment of supervisory programs, update of code of ethics, the review of personal securities transactions, and compliance training.
Dec 8, 2011
$69.95
$69.95
2011 Review – Are You Aware of the Changes in 2011 and Is Your Investment Advisor On Track for 2012?
Time: 55 minutes
Description: 2011 was a year of changes for registered investment advisors. For most investment advisors it started with the implementation of the new Form ADV Part 2 and throughout the year, various provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act that affected investment advisors became effective. During this webinar, RIA Compliance Consultants provides a review of 2011’s regulatory changes and provides some guidance regarding issues investment advisor’s should considering as they update and prepare their compliance programs for 2012. This webinar will be good for investment advisors trying to figure out if they have managed to stay on top of everything or for those just looking for reassurance that they are on the right track.
Description: 2011 was a year of changes for registered investment advisors. For most investment advisors it started with the implementation of the new Form ADV Part 2 and throughout the year, various provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act that affected investment advisors became effective. During this webinar, RIA Compliance Consultants provides a review of 2011’s regulatory changes and provides some guidance regarding issues investment advisor’s should considering as they update and prepare their compliance programs for 2012. This webinar will be good for investment advisors trying to figure out if they have managed to stay on top of everything or for those just looking for reassurance that they are on the right track.
Nov 11, 2011
$69.95
$69.95
Time: 73 minutes
Description: During this webinar, RIA Compliance Consultants discusses the investment advisor compliance requirements relating to the use of social media websites. One of our compliance consultants provides guidance regarding record retention and developing policies and procedures relating to social media websites. Additionally, we discuss the need to address supervision of personal use of these websites by an investment advisor’s representatives.
Description: During this webinar, RIA Compliance Consultants discusses the investment advisor compliance requirements relating to the use of social media websites. One of our compliance consultants provides guidance regarding record retention and developing policies and procedures relating to social media websites. Additionally, we discuss the need to address supervision of personal use of these websites by an investment advisor’s representatives.
Oct 13, 2011
$69.95
$69.95
Time: 68 minutes
Description: During this webinar, RIA Compliance Consultants discuss the requirement for each investment advisor 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. Our consultants discuss the role of the CCO and provide an overview of the CCO’s ongoing compliance requirements.
Description: During this webinar, RIA Compliance Consultants discuss the requirement for each investment advisor 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. Our consultants discuss the role of the CCO and provide an overview of the CCO’s ongoing compliance requirements.
Aug 18, 2011
$69.95
$69.95
Time: 64 minutes
Description: During this webinar, RIA Compliance Consultants discusses the need for an investment advisor to perform ongoing reviews and to periodically update its written compliance policies and procedures. Our consultants discuss how often an investment advisor should review and update its policies and procedures. We also discuss some of the key factors that an investment advisor should consider when determining if updates need to be made to its written compliance policies and procedures.
Description: During this webinar, RIA Compliance Consultants discusses the need for an investment advisor to perform ongoing reviews and to periodically update its written compliance policies and procedures. Our consultants discuss how often an investment advisor should review and update its policies and procedures. We also discuss some of the key factors that an investment advisor should consider when determining if updates need to be made to its written compliance policies and procedures.
May 12, 2011
$69.95
$69.95
Time: 75 minutes
Description: During this webinar, RIA Compliance Consultants will discuss some of the additional actions that need to be taken now that you have filed the new Form ADV Part 2. One of our consultants will discuss the new requirements for delivering the ADV Part 2 to your clients. Additionally, we will discuss updates that your investment advisor may need to make to its written supervisory procedures to reflect the new ADV Part 2 and its requirements. Another key topic that will be addressed during this webinar is the change from SEC to state registration that will affect many investment advisors this year due to the upcoming change in the amount of assets under management required to be SEC registered.
Description: During this webinar, RIA Compliance Consultants will discuss some of the additional actions that need to be taken now that you have filed the new Form ADV Part 2. One of our consultants will discuss the new requirements for delivering the ADV Part 2 to your clients. Additionally, we will discuss updates that your investment advisor may need to make to its written supervisory procedures to reflect the new ADV Part 2 and its requirements. Another key topic that will be addressed during this webinar is the change from SEC to state registration that will affect many investment advisors this year due to the upcoming change in the amount of assets under management required to be SEC registered.
Apr 19, 2011
$69.95
$69.95
Time: 61 minutes
Description: During this webinar, RIA Compliance Consultants outlined the annual regulatory requirements for an investment adviser and provided examples of and tips about how to prepare a compliance calendar, checklists and forms for the purpose of meeting such annual regulatory requirements. In particular, we discussed IARD renewals, the Annual Amendment to the Form ADV, the annual ADV offer and delivery of the privacy policy, review of outside business activities of IARs, supervision of solicitor arrangements, the assessment of supervisory programs, update of code of ethics, the review of personal securities transactions, and compliance training.
Description: During this webinar, RIA Compliance Consultants outlined the annual regulatory requirements for an investment adviser and provided examples of and tips about how to prepare a compliance calendar, checklists and forms for the purpose of meeting such annual regulatory requirements. In particular, we discussed IARD renewals, the Annual Amendment to the Form ADV, the annual ADV offer and delivery of the privacy policy, review of outside business activities of IARs, supervision of solicitor arrangements, the assessment of supervisory programs, update of code of ethics, the review of personal securities transactions, and compliance training.
Dec 2, 2010
$69.95
$69.95
Time: 70 minutes
Description: During this webinar, RIA Compliance Consultants discusses the SEC’s new Form ADV Part 2, which investment advisors are required to provide to their clients and prospective clients. Our consultants highlight the changes relating to the format, the additional disclosure requirements, and filing requirements. Additionally, we address the timeline for the implementation and filing of this document.
Description: During this webinar, RIA Compliance Consultants discusses the SEC’s new Form ADV Part 2, which investment advisors are required to provide to their clients and prospective clients. Our consultants highlight the changes relating to the format, the additional disclosure requirements, and filing requirements. Additionally, we address the timeline for the implementation and filing of this document.
Oct 21, 2010
FREE
FREE
Time: 85 minutes
Description: During this webinar, RIA Compliance Consultants provides specific guidance on maintaining the appropriate books and records required of an investment advisor.
Description: During this webinar, RIA Compliance Consultants provides specific guidance on maintaining the appropriate books and records required of an investment advisor.
Jul 28, 2010
$69.95
$69.95
Time: 71 minutes
Jun 24, 2010
$69.95
$69.95
Time: 62 minutes
Description: During this webinar, RIA Compliance Consultants outlined the emerging regulatory expectation that an investment adviser firm establish a written information security program designed to protect confidential client information. In particular, we reviewed certain key SEC enforcement actions and proposed amendments by the SEC to Regulation S-P, which would require specific measures to protect confidential client information. This webinar also covered the State of Massachusetts' new privacy regulation requiring an investment adviser firm with a client residing in Massachusetts to develop, implement, maintain and monitor a comprehensive written information security program and ensure that confidential client information stored on portable devices is encrypted. Our consultant offered various best practices to meet these new expectations to protect client data.
Description: During this webinar, RIA Compliance Consultants outlined the emerging regulatory expectation that an investment adviser firm establish a written information security program designed to protect confidential client information. In particular, we reviewed certain key SEC enforcement actions and proposed amendments by the SEC to Regulation S-P, which would require specific measures to protect confidential client information. This webinar also covered the State of Massachusetts' new privacy regulation requiring an investment adviser firm with a client residing in Massachusetts to develop, implement, maintain and monitor a comprehensive written information security program and ensure that confidential client information stored on portable devices is encrypted. Our consultant offered various best practices to meet these new expectations to protect client data.
Apr 15, 2010
$69.95
$69.95
Time: 72 minutes
Description: This webinar focuses on investment adviser firms that are or have affiliated broker-dealers or qualified custodians and investment adviser firms that own or operate pooled investment vehicles such as hedge funds, private real estate deals and other private placement securities.
Description: This webinar focuses on investment adviser firms that are or have affiliated broker-dealers or qualified custodians and investment adviser firms that own or operate pooled investment vehicles such as hedge funds, private real estate deals and other private placement securities.
Mar 25, 2010
$69.95
$69.95
Time: 81 minutes
Description: Our webinar explores the new SEC requirements for investment adviser firms with custody. Our consultants discuss many common investment adviser practices that result in custody as defined by the SEC and answer pressing questions about the rule's impact on investment advisers. This webinar focuses upon the deduction of advisory fees, acceptance of third-party checks from clients, trustee relationships, and other common custody situations for investment adviser firms.
Description: Our webinar explores the new SEC requirements for investment adviser firms with custody. Our consultants discuss many common investment adviser practices that result in custody as defined by the SEC and answer pressing questions about the rule's impact on investment advisers. This webinar focuses upon the deduction of advisory fees, acceptance of third-party checks from clients, trustee relationships, and other common custody situations for investment adviser firms.
Feb 25, 2010
$69.95
$69.95
Time: 65 minutes
Description: During this webinar, RIA Compliance Consultants provides listeners with practical tips for preparing an investment advisor for an SEC examination and how to avoid some of the most common deficiencies.
Description: During this webinar, RIA Compliance Consultants provides listeners with practical tips for preparing an investment advisor for an SEC examination and how to avoid some of the most common deficiencies.
Feb 11, 2010
$69.95
$69.95
Time: 67 minutes
Description: This webinar, "Filing 13F Reports was presented by Jarrod James of RIA Compliance Consultants. It is intended for registered investment adviser firms that exercised exercise discretionary authority over $100 million of Section 13(f) (generally, exchange traded or NASDAQ-quoted) securities. In addition to providing guidance about whether a security falls into the definition of a section 13(f) security and whether a registered investment adviser is required to file the Form 13F, Mr. James also discusses how to establish an EDGAR account and how to meet Form 13F instructions.
Description: This webinar, "Filing 13F Reports was presented by Jarrod James of RIA Compliance Consultants. It is intended for registered investment adviser firms that exercised exercise discretionary authority over $100 million of Section 13(f) (generally, exchange traded or NASDAQ-quoted) securities. In addition to providing guidance about whether a security falls into the definition of a section 13(f) security and whether a registered investment adviser is required to file the Form 13F, Mr. James also discusses how to establish an EDGAR account and how to meet Form 13F instructions.
Jan 8, 2009
$69.95
$69.95
Training Materials
RIA Compliance Consultants has prepared a power point training material titled “Protecting Older Clients – Training” that provides instruction to employees of an Investment Adviser to help them recognize and properly report suspected senior financial exploitation. It also discusses the importance the importance of protecting client privacy and respecting their integrity. It is intended to assist in the training of employees to help Investment Adviser firms qualify for immunity under the Senior Safe Act. Included with Platinum Package.
$125
RIA Compliance Consultants has created a short quiz that is intended to be given to employees after they have received training from the “Protecting Older Clients – Training” Power Point. This document will also help provide some documentation of employees completing training, as is required under the Senior Safe Act. Included with Platinum Package and “Protecting Older Clients – Training” Power Point.
$45
