Investment Adviser Conference

2018 Conference

From Wednesday, August 22 to Thursday, August 23, 2018, RIA Compliance Consultants will host its second Investment Adviser Conference at the Scott Conference Center, at 6450 Pine Street, Omaha, NE 68106.

Day 1 will feature a half-day CCO training session with separate tracks for both new and advanced CCO’s. Day 2 will be a full day conference. To learn more or to register for this conference, please click here.

2017 Conference

Thursday, August 24, 2017, RIA Compliance Consultants hosted its first Investment Adviser Conference at The 1415 Meeting Space at 1415 Harney Street, Omaha, NE 68102. Click to see Conference Agenda.

For $95 you can access 6 of our conference presentations. These 6 presentations are: Creating a Compliance Calendar, Changes to the Form ADV, SEC Exam Regulatory Findings, SEC Enforcement Actions, and Cybersecurity Policies and Procedures, and DoL Fiduciary Rule Updates.

Purchase access here.

Compliance Consultant, Teresa O’Grady, discussed the changes to the Form ADV

Senior Compliance Consultant, Jarrod James, and Marketing Coordinator, Grant Parr, shared a laugh because, hey, compliance can be fun!

While setting the fashion standard, Marketing Coordinator, Grant Parr, reminded us that the coffee is always on at RCC

Senior Compliance Consultants, Jarrod James, Teresa O’Grady, Bryan Hill, and Tom Zielinski fielded attendee questions

Emojis, ADVs, and calculating fees, Teresa O’Grady’s ADV presentation had it all

Senior Compliance Consultants, Jarrod James and Tom Zielinski, discussed SEC exam findings

Senior Compliance Consultant, Jarrod James, explained how to build an effective compliance calendar

Marketing Coordinator, Grant Parr, turned into the AV person for the day

RIA Compliance Consultants’ president, Bryan Hill helped identify cybersecurity issues