Does your investment adviser act as a solicitor for another investment adviser or utilize a third-party as a solicitor of your investment advisory services?
If so, your registered investment adviser firm could possibly face regulatory and civil liability risks due to the negligence, misconduct or fraud of this third-party. Learn how your registered investment adviser firm can protect or mitigate its risks by attending our webinar, “Establishing & Supervising Solicitor Arrangements,” on Wednesday, August 19, 2009 from 12:00 p.m. to 1:00 p.m. CST.
During this webinar, our consultants will review in detail the requirements of SEC’s solicitor rule for registered investment advisers, the registration requirements of certain states for third- party solicitors, and examples of best supervisory practices for a registered investment adviser utilizing solicitors and due diligence activities by a solicitor referring clients to a registered investment adviser.
For only $59.95, you can purchase a seat to RIA Compliance Consultants’ webinar, “Establishing & Supervising Solicitor Arrangements,” scheduled for 12:00 – 1:00 p.m. CST on Wednesday, August 19, 2009. You can start the registration process by following the payment instructions and clicking on the registration link below.
For online payment by credit card, after completing the webinar registration page, you will be re-directed to a PayPal shopping cart for processing. If you prefer to pay over the telephone, after completing the webinar registration page, please contact Crystal Walz at cwalz@ria-compliance-consultants.com or 877-345-4034 x 100.
Purchase now your webinar seat for $59.95: https://www2.gotomeeting.com/register/673425275
Posted by Bryan Hill
Labels: Solicitors
