RIA Regulatory Priorities & Inspection Deficiencies


RIA Regulatory Priorities & Inspection Deficiencies
Wed, 14. October 2020, 04:00 PM EST - 05:00 PM EST
Created by:
Andrew Gluck


Compliance Services For A4A Members
Cathy Vasilev, cofounder of a compliance consultancy to hundreds of RIAs, is teaching a series of classes on A4A. To save you time and improve your business processes, A4A membership now includes a 20% discount on compliance services from Red Oak Compliance, plus free access to software for managing compliance more efficently.

A4A members, please log in and sign up to receive a free compliance services account

Over the past decade, A4A earned the trust of CFP®, CIMA®, CPA, ChFC®, and CFA® fiduciaries by providing a new kind of continuing education curriculum, a content stream for running a practice about low-expense strategic investing based on MPT and focused on estate and income tax planning. A4A enables you to spend more time with clients and not researching investment, tax, and financial planning knowledge piecemeal from disparate sources. And, because A4A's content is member-sponsored, classes are free of commercial influence. 

Fritz Meyer, a revered independent economist, Robert Keebler, a leading accounting and legal educator for over three decades, and Craig Israelsen Ph.D., who has published monthly in Financial Planning since 1996 about low-expense portfolio design, form A4A's core curriculum for professionals. The core gives a fiduciary the minimum required to run a professional practice based on knowledge from trusted thought leaders. 

Adding a compliance instructor to A4A's curriculum integrates classes about compliance fills an important gap in A4A's curriculum for running a professional financial services firm. Integrating A4A's services with Red Oak's compliance solutions is a new benefit of A4A membership designed to increase efficiency in RIAs.

Compliance services for A4A members doesn't just teach you about compliance; it gives you a way to implement what you learn.   


RIA Regulatory Priorities & Inspection Deficiencies

State and Federal Registered Investment Advisers’ (RIA) regulatory responsibilities must be top of mind, even during the Covid pandemic.

In this class, investment adviser representatives (IAR) learn about the latest published exam priorities of the SEC and state regulators. In addition, common deficiencies found during exams and how regulators use "sweep" exams to identify emerging compliance issues are also discussed, including:

• Published Exam Priorities for the SEC and State regulators
• Industry Outreach conducted through Sweep exams to determine industry procedures and identify issues
• How regulators use data to determine who to audit and what information to examine
• Common deficiencies uncovered during exams
• The COVID response expected by the regulators
• PPP Loan: Did you take one? What now?

This class is led by an instructor drawing upon over 25 years of FINRA and SEC compliance experience at broker/dealers, serving registered reps as well as CCOs and CEOs at RIAs, Instructor Cathy Vasilev co-founded Red Oak Compliance Solutions, which advises 400 RIAs on regulatory compliance,  in 2010. She previously served as the Assistant Vice President of Supervisory Systems and Controls at NFP Securities, an independent B/D, and RIA, and supervised 75 representatives as an Associate Manager at Prudential, performing all compliance functions for a branch. Cathy began her career as a stockbroker for Salomon Smith Barney after earning a Masters of Business Management degree. She is a member of the Association of Compliance Professionals, National Society of Compliance Professionals, Compliance and AML Professionals; and maintains FINRA Series 7, 24, 26, 63 as well as Life and Health licenses.
This webinar is eligible for one hour of CE credit towards the CIMA® and CPWA® certifications.
The first eight minutes of this session covers upcoming and recent classes and client education solutions, and is not included in the time calculation for Continuing Education credit.
Instructor bio: Cathy Vasilev
Cathy Vasilev advises registered investment advisers, insurance companies, hedge funds and broker-dealers on all areas of compliance, including advertising, supervision, surveillance, licensing and registration of personnel. After 10 years as a compliance manager at NFP Securities, and supervising a branch with 50 advisors at Prudential, Cathy in 2010 co-founded Red Oak Compliance Solutions, which is dedicated to ensuring the operational efficiency of each area and compliance with industry and company policies and procedures.