Advisor Compliance Update

Chris Winn
04/16/10 4 PM EST
4.6
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Financial reform is coming and it will affect how you do business. You can't afford to not know your compliance responsibilities.

In this webinar, you'll learn about:

  • Recent custody rule changes
  • Reform proposals being considered in Congress
  • How the compliance landscape may change
  • What these changes mean to your firm

Guest speaker Chris Winn is a co-founder and managing principal of AdvisorAssist™, a compliance consulting firm, and he has 17 years of experience in regulatory compliance for RIAs, reps, and B/Ds.


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(Updated: April 15, 2010)
5.0
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This was one of the most important learning hours in my professional life as an advisor. The new SEC regulatory environment is now so much more complex and scary that just trying to get one's arms around the new regs seems like an almost impossible task. Chris made it a bit more understandable today. For that - I owe him a big thank you. Steve Berman

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(Updated: April 15, 2010)
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Extremely informative. Would definitely sign up for more webinars based on the caliber of this one.

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(Updated: April 15, 2010)
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very useful

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(Updated: April 15, 2010)
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Very timely. This is complicated and scary topic

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(Updated: April 15, 2010)
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Very Timely. I simply don't know how the gov't thinks for one moment how we're actually going to keep up with all this gook AND pay for them. So many restrictions on the lifeblood of America (small business) has quickly become unwieldy and is going to choke our nations spirit to live in and support what once was a great place to be. Don't get me wrong, we all know why these regulations are coming down. It's just not being done in a way that will foster anyone who wants to be independent down the road.

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