Just as a skilled surfer anticipates the perfect wave, an investment adviser firm’s seasoned executives and compliance professionals must prepare for the impending regulatory swell.
In 2024, investment adviser firms registered with the U.S. Securities and Exchange Commission (“SEC”) may find themselves facing a potentially significant wave of new rules and regulatory changes.
Take the opportunity to nail this regulatory wave and avoid washing out by downloading our complimentary slides from our course: “Riding the Regulatory Wave: Navigating the Potential 2024 Surge for SEC Registered Investment Advisers” presented on October 26, 2023.
During this course, Bryan Hill and Jarrod James of RIA Compliance Consultants, Inc. discussed the SEC’s rule making process along with five new rules approved by the SEC during the few months and six proposed rules which are applicable to investment advisers and currently under consideration by the SEC.
For your convenience, you can download a complimentary copy of the online seminar slides: Riding SEC Regulatory Wave.10.26.2023.
The full recording of this webinar is available to Annual Compliance Program (Bronze, Silver, Gold, Platinum and Titanium) clients of RIA Compliance Consultants, Inc. at https://www.ria-compliance-consultants.com/knowledge-base/riding-the-regulatory-wave/ .
Disclosure: This post and the slides are for general educational purposes only and should not be considered advice to the reader. A client relationship is not created by merely reading this post and/or slides. For additional information or specific guidance, the reader should consult with his or her compliance professional for advice tailored to the reader’s specific circumstances. The contents of this post and slides may become dated, and RIA Compliance Consultants, Inc. will not necessarily provide an update to the slides.
