With securities regulators keenly focused on the increasing decentralization of investment advice, 2017 is shaping up to be another busy compliance year for RIAs. In this webinar, you'll hear about:
• DOL fiduciary rules for April 2017 and beyond
• Fraud and cyber-attack policies
• Don't become a custodian without knowing it
• New rules on business continuity and key-person risk
• Ensuring remote persons follow your firm's policies
• Testing and verifying you are doing a good job
Speaker Chris Winn is founder of AdvisorAssist, a Boston-based management consulting firm serving investment advisory firms exclusively. AdvisorAssist manages start-up and transition. It supports compliance, practice management and technology for SEC and state registered investment advisers and broker-dealers. Registration, strategy, transition management, vendor selection, incubation, and compliance program design are their strengths.
This webinar is eligible for IMCA® CE, CFP® CE, PACE credit toward CLU® and ChFC® designations and live CPA CPE credit.
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