Questions About ByAllAccounts And When Account Aggregation Of 401(k) Assets Triggers Onerous Custody Rules Become Focus Of Webinar About 2014 SEC Examination Priorities For RIAs Hot
-- Excellent.
-- Good Information and recommendations
-- This is possibly the best compliance session I have attended in my 17 years in the business. Chris was very specific about our responsibilites and that is rather unusual... in a good way.
-- I would be interested in a Part 2.
-- Very insightful. I have a rather small firm and have been audited by the state of Texas three different times in a 10 year span.
-- Quality Information, Thanks,
-- Would have been more effective to have shown an example of compliance calendar.
-- Very informative
-- Andy -- I have to thank you. Without you I would have never met Chris Winn--he is now my most trusted partner at 7Twelve. I didn't know guys like this even existed before I saw him for the first time on A4A. I certainly sleep better and run a better shop because of Chris!
-- Better tan most on this subject.
-- Very professional, although too quick for level of information desired.
-- This subject can be very uncomfortable for most advisors. It can also be emotionally draining and cause a lot of angst. Chris has presented before, and he is always measured and matter of fact in his delivery. That being said, there are times when I will ask "is he kidding"? Of course, Chris is only the messenger, and you aren't supposed to shoot the messenger. Nice job on a difficult topic for advisors.
-- Yes as a CFP working in an RIA, I listened even though I got no credit. My firm went through an audit last year and I wanted to make certain that I/we got a refresher on the topic. Chris's presentation reinforced what I thought was important to do as a followup to that audit and on an ongoing basis
-- This is a topic that needs to be on the list more often.
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