RIA Compliance Connection 2023

• Courtyard Omaha Aksarben Village, next door to the conference venue. Discounted rate of $155/night available until July 27. Call (402) 951-4300 and mention our conference or Book Online.

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

• Unitifi Overview

RIA Compliance Consultants is committed to providing a welcoming, harassment-free RIA Compliance Connection for everyone, regardless of gender, sexual orientation, disability, physical appearance, age, race, ethnicity, or religious beliefs.

By participating in the RIA Compliance Connection Conference, all attendees, speakers, sponsors, Strategic Alliance Members, and Strategic Providers, and staff must abide by the following Code of Conduct. This Code of Conduct applies to all RIA Compliance Connection, sessions, social events, and online activity, and outlines our expectations for participant behavior, as well as the consequences for unacceptable behavior.

1. Respect others.

Demeaning, discriminatory, intimidating, harassing or abusive or harassing behavior and speech will not be tolerated. Harassment may include but is not limited to: offensive verbal, written or electronic comments related to gender, sexual orientation, race, religion, disability; nudity and/or sexual images in public spaces (including presentation slides); deliberate intimidation, stalking, or following; harassing, photography, or recording; sustained disruption of sessions, talks, or other events; inappropriate physical contact, and sexual attention.

2. Be Truthful, Forthright and Authentic

Attendees are required to register with their true name and identity, without mimicking the likeness of anyone other than themselves. Login information must not be shared or used for attendees other than the original registrant.

Any attendee, RCC employee, speaker, sponsor, Strategic Alliance Member or Strategic Provider who does not abide by this Code of Conduct may be asked to leave the conference at the discretion of the event organizers. In the case that an attendee is expelled, refunds will not be granted.

How to report a violation.

If you become aware of this Code of Conduct being violated in any way, or have other concerns, please contact a RIA Compliance Consultants employee or email bizdevteam@ria-compliance-consultants.com. Please, report anyone who has violated this Code of Conduct. If you have been made uncomfortable someone else has been made uncomfortable.