Cloud Computing For RIAs: Compliance Tips And Practical Considerations When Moving Client Records

Chris Winn03/30/12 4 PM EST

Keeping client records in the “cloud” is a good option for many advisors, but you have to be aware of some important compliance considerations when using cloud-based solutions.

At this webinar we will cover:

-      Why consider the cloud?
-      Compliance rules and regulations
-      Due diligence required of cloud providers
-      Privacy and data security
-      Compliance benefits
-      Common mistakes
 

Speaker Chris Winn is founder and managing principal at AdvisorAssist, a management consulting firm serving advisors, and he has 17 years of experience in regulatory compliance for RIAs, reps, and B/Ds.


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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5.0

Really appreciated the information. It was very helpful.

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5.0

Great. More of this theme will be good.

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5.0

Well done

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5.0

super helpful, especially to show the Boss

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