What’s New From RIA Compliance Consultants – June 2021

Recent Blog Posts

• Increasing Client Participation in Designating Trusted Emergency Contacts

• RIA Phishing Email Alert – Posing as FINRA

• South Carolina Adopts Financial Exploitation Law to Help Protect Vulnerable Adults

Recorded Webinar

• Updating Solicitor Arrangements under SEC’s New Marketing Rule

Upcoming Webinar

• RIA Client Testimonials under SEC’s New Marketing Rule

Upcoming Conference

• RIA Compliance Connection 2021

Missed our last updates? Check out our RCC in 60 Video for April and May!

Video Transcript

Welcome to RCC in 60, where we share what’s new with RIA Compliance Consultants in 60 seconds or less.

In the past month, we’ve added several new entries to our blog, the most recent of which is RIA Phishing Email Alert – Posing as FINRA, in which we outlined several of our clients who identified suspicious emails claiming to be from FINRA. Click the link on their screen to be taken to our blog.

In May of 2021 RIA Compliance Consultants hosted a compliance training webinar about Updating Solicitor Arrangements Under the SEC’s New Marketing Rule. This webinar is available to annual compliance program package clients in their online subscription accounts, or access to this webinar can be purchased a la carte through the link on this screen.

On Thursday, June 24 at 12 o’clock central time, RIA Compliance Consultants will host a compliance training webinar about RIA Client Testimonials Under the SEC’s New Marketing Rule. Click the link on this screen to register for this webinar.

We would like to invite you to join our virtual Investment Adviser Compliance Conference on August 25 and 26 of 2021. The conference will take place virtually through Zoom and the cost to attend is $295 per attendee. Or if you’re an Annual Compliance Program Package client, $195 per attendee. Click the link on this screen to register for our conference. That’s been RCC in 60, we’ll see you next time!