2017 Compliance For RIAs

2017 Compliance For RIAs
Christopher Winn
AdvisorAssist
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CFP® - 1 credit
IMCA - 1 credit
Live CPA - 1 credit
Program Id:425715307
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4.7 (34)

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.


More than 50 hours of CFP® CE credit and more than 100 hours of IMCA® credit on replays available 24/7 to paying members ($60 annually) of
Advisors4Advisors.com. CPAs are eligible to receive CPE for attending live webinars only. To learn how to receive continuing professional education credit viewing webinar replays, please see our detailed instructions.


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Very timely and thought provoking. Good examples to support his presentation
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excellent
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