2022 RIA Compliance Connection Resources
This page will contain the recording and presentation slides from RIA Compliance Consultants’ 2022 RIA Compliance Connection Conference, starting on August 24.
If you need assistance at any time during the conference please email help@ria-compliance-consultants.com
- Strategic Alliance Sponsor
Unitifi – Unitifi has developed online software tools to help everyone in the Financial Industry to increase revenue and decrease compliance issues related to knowledge of client. Uniting the Financial Industry is the Goal of Unitifi by Defining Financial Behavior, and relating this to the Financial Professionals and Firms that cater to the client relationships.
Unitifi Resources
- 2022 RIA Compliance Connection Agenda
- August 25, 2022 Slides
All times Central.
9:10 to 10:00 AM – Session 1: Investment Adviser’s Act Rule 206(4) – 1 – Amendments to Advertising/Marketing Rules – View Slides
10:15 to 11:00 AM – Session 2: IRA Rollovers – Conducting PTE 2020’s Required Retrospective Review – View Slides
11:05 to 11:55 AM – Session 3: Form ADV – Keeping it Fresh – View Slides
12:30 to 1:20 PM – Session 4: Information Technology & Disaster Recovery/Business Continuity – View Slides
1:25 to 2:10 PM – Session 5: Common IA Exam Issues through the Eyes of a Former Regulator – View Slides
- Conference Satisfaction Survey
