Compliance Continuing Ed For RIAs

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Compliance For RIAs is now part of the professional education curriculum on Advisors4Advisors!
 

Compliance classes for financial advisors are not new on A4A. We've sponsored many compliance classes for RIAs over the years. However, finding the right compliance consultant or attorney has been an elusive goal since A4A’s founding in 2009.

 

The best instructors to CFP®, CPA, CFA® and other financial professionals speak easily and draw on their experience with securities and advice laws and state and SEC rules. Moreover, a good class on compliance for advisors spurs action without scare tactics and fear-mongering. A4A members want details and facts without sensationalism, free from bias, self-interest, and the tit-for-tat of experts promoted by custodians, B/Ds, and financial service industry hacks. 

 

Cathy Vasilev, RIA Compliance Expert Cathy Vasilev received a 9.1 rating for her first class yesterday, a roundup on 2020 compliance issues for RIAs.  Attendance was strong.


Cathy Vasilev founded Red Oak Compliance Solutions a decade ago after spending 15 years at B/Ds supervising compliance of registered reps. She specialized in independent broker/dealers regulated by FINRA. In 2010, along with two collagues, she started her own compliance consuting firm, Red Oak, to focus on IA reps and advisors with dual registration.

 

Before she taught yesterday's highly-rated 1-credit CE class for advisors, Cathy reviewed content submissions to FINRA for A4A's affilated financial consumer education company, Advisor Products Inc., for six months.  

 

In addition to educating independent advisors about their compliance requirements, A4A has arranged for members to use Red Oak's compliance review platform to submit articles, videois, and other advertising materials for review at a 20% discount on the regular rate.   

 

With the feedback and collaboration of A4A members and some help from the A4A team, Cathy Vasilev’s strong start will be improved on, as we begin to tap the power of collaboration on A4A to provide CFP®, CPA, CIMA®, CFA® and other financial planning and investment professionals with a continuing professional education stream of news and analysis about RIA compliance.

Read the Q&A from our first compliance class for RIAs

 

 
 
 

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