2010 Compliance Planning For RIAs

Chris Winn
10/30/09 4 PM EST
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With 2009 coming to a close, now is a good time to improve your compliance procedures for 2010.

In this webinar, you will learn about:
• 25 crucial dates for your 2010 compliance calendar
• Integrating compliance into your firm’s day-to-day tasks to reduce costs
• A proactive strategic plan to minimize compliance risks before something goes wrong

Guest speaker Chris Winn is a co-founder and managing principal of AdvisorAssist™, a compliance consulting firm, and he has 16 years of experience in regulatory compliance for RIAs, reps, and BDs.

 

 

 


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4.0

Excellent refresher for improving your compliance program.

This webinar was very instructive. It was very thorough and helpful for me.

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