What’s New From RIA Compliance Consultants – April/May 2021

May 2021

Recent Blog Posts

• Texas Revokes IAR’s Registration Over Performance Fees

• NASAA Publishes Handbook for Prospective IAR CE Content Providers

  DOL Clarifies Fiduciary Advice Exemption for IRA Rollovers

• Legislative Proposals in Response to Archegos Capital Meltdown – Changes to 13(f) Filings, Limit Family Office Exemption and Prohibit Order Flow Payments

Upcoming Webinar

• Updating Solicitor Arrangements under SEC’s New Marketing Rule

New Sample Forms

• SEC Exam – Best Practices Checklist

Upcoming Conference

• RIA Compliance Connection 2021

April 2021

Recent Blog Posts

• Top 10 Reasons to Attend RIA Compliance Connection 2021

• Nebraska Enacts Law Giving Investment Advisers Ability to Protect Seniors and Vulnerable Adults from Financial Exploitation

• Scholarship for our 2021 RIA Compliance Connection Compliance Conference

Missed our March updates? Check out our RCC in 60 Video for March!

Video Transcript

This is RCC in 60, where we share what’s new from RIA Compliance Consultants in 60 seconds or less. On Wednesday, May 26, RIA Compliance Consultants will host a compliance training webinar about updating solicitor arrangement agreements under the new marketing rule. We will host this webinar at 12:00 o’clock Central time. If you’re a member of one of our annual compliance program packages, registration is complimentary. To purchase your seat for this webinar, please click the link on this screen.

We recently added new sample forms to our sample forms library. These forms include SEC Exam – Best Practices Checklist. Recent updates to existing sample forms include Suitability – Recommending Proprietary Investment or Fund Checklist, Suitability – Retirement Plan Rollover – Client Acknowledgment, WSP/CoE – Section Update – IRA Rollover Recommendations.

RIA Compliance Consultants continuously adds new information to our blog. Some of our newest blog entries are Top 10 Reasons to Attend RIA Compliance Connection 2021, DoL Clarifies Fiduciary Advice Exemption for IRA Rollovers and NASAA Publishes Handbook for Prospective Investment Advisor Representative Continuing Education Content Providers (View that handbook here).

We would like to invite you to our upcoming Investment Advisor Compliance Conference on August 25 and 26 of 2021. This conference will be a virtual event hosted through Zoom. The cost to register for our conference is $295. However, if you purchase your seat before June 4th, you’re entitled to a discount price of $245. Additionally, if you’re an annual compliance program package client, you’re entitled to an even steeper discount. Please contact your consultant or support person to get your annual compliance program package discount. That’s been RCC in 60. We’ll see you next time!