2017 Compliance For RIAs

2017 Compliance For RIAs
Christopher Winn
AdvisorAssist
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IMCA - 1 credit
Live CPA - 1 credit
Program Id: 425715307

 

 

With securities regulators keenly focused on the increasing decentralization of investment advice, 2017 is shaping up to be another busy compliance year for RIAs. In this webinar, you'll hear about:

DOL fiduciary rules for April 2017 and beyond
Fraud and cyber-attack policies
Don't become a custodian without knowing it
New rules on business continuity and key-person risk
Ensuring remote persons follow your firm's policies
Testing and verifying you are doing a good job


Speaker Chris Winn is founder of AdvisorAssist, a Boston-based management consulting firm serving investment advisory firms exclusively. AdvisorAssist manages start-up and transition. It supports compliance, practice management and technology for SEC and state registered investment advisers and broker-dealers. Registration, strategy, transition management, vendor selection, incubation, and compliance program design are their strengths.

 

This webinar is eligible for IMCA® CE credit.

 


More than 50 hours of CFP® CE credit and more than 100 hours of Investments & Wealth Institute® credit on replays available 24/7 to paying members ($120 annually) of
Advisors4Advisors.com. CPAs are eligible to receive CPE for attending live webinars only. To learn how to receive continuing professional education credit viewing webinar replays, please see our detailed instructions.

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