Applying A Regulatory Framework To Your Compliance Program

Event

Applying A Regulatory Framework To Your Compliance Program
Title:
Applying A Regulatory Framework To Your Compliance Program
When:
Thu, 12. July 2018, 04:00 PM EST - 05:00 PM EST
Category:
Financial Advisor Webinar Series
Created by:
Ben Resnik

Description

Advisors4Advisors Compliance Webinar Series Class 1 of 4

Introducing Cory Roberson, Founder, RIAReview.






 

 

 

 

 

 

 

This is an RIA compliance class hosted by Cory Roberson, founder of RIAReview.com.

This webinar puts a magnifying glass on compliance in an effort to improve oversight. This session covers:

Reporting levels
SEC and State Compliance
FINRA connections

Cory calls himself a social entrepreneur, and his story inspired the video above introducing him to A4A members.  

Please tell us how to make the session productive to you by filling out this 10-second survey.



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Cory Roberson, founded RIAReview.com, an online platform used by 130 RIAs to streamline and organizes the development and maintenance of annual internal compliance reviews for Registered Investment Advisers. Roberson Consults Group has served more than 160 state and federal Registered Investment advisers since 2011. Cory has volunteered as an English teacher and business coach to young entrepreneurs around the world.

 

This webinar is eligible for one hour of CE credit towards the CIMA® and CPWA® certifications and live CPA CPE credit.

Download The Slides.

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