2020 Compliance For RIAs

Excellent overall presentation and valuable and effective slides were presented. It is apparent that the speaker is well-versed on the topics presented, which can become complex. Her reference to compliance consultants being more involved in the daily nitty gritty of compliance is correct (compliance attorneys do a lot of other things, primarily contract review). Also, unlike prior presenters on this topic, speaker did not use scare tactics in order to win over new business, which is tiresome. Thank you!

Good. Hard to make compliance stuff interesting.

This is the "stuff" we have to address in our business, and its NOT sexy or fun or exciting, and its difficult to hold our attention, but Kathy did a great job of keeping me focused. Thank you.