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Applying A Regulatory Framework To Your Compliance Program
Advisors4Advisors Compliance Webinar Series Class 1 of 4
Introducing Cory Roberson, Founder, RIAReview.
This is an RIA compliance class hosted by Cory Roberson, founder of RIAReview.com.
This webinar puts a magnifying glass on compliance in an effort to improve oversight. This session covers:
• Reporting levels
• SEC and State Compliance
• FINRA connections
Cory calls himself a social entrepreneur, and his story inspired the video above introducing him to A4A members.
Please tell us how to make the session productive to you by filling out this 10-second survey.
To collaborate with our presenters' materials, subscribe to a free trial of our client education platform.
Cory Roberson, founded RIAReview.com, an online platform used by 130 RIAs to streamline and organizes the development and maintenance of annual internal compliance reviews for Registered Investment Advisers. Roberson Consults Group has served more than 160 state and federal Registered Investment advisers since 2011. Cory has volunteered as an English teacher and business coach to young entrepreneurs around the world.
This webinar is eligible for one hour of CE credit towards the CIMA® and CPWA® certifications and live CPA CPE 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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