2020 Compliance Trends For RIAs
2020 Compliance For RIAs
PPP disclosure reqquirements for RIAs
Reg BI SEC Info
Cybersecurity
Fee Calculations: OCIE Risk Alert
SEC's focus on advisory fees
RIA cash-management rules guidance from SEC
RIA regulations on outside brokerage account from SEC
Personal trading rules for RIA personnel set by SEC
Investor complaints to SEC
SEC OCIE exam priorities for 2020
RIA PPP Disclosure Requirements
For state and federally registered investment advisers (RIAs), the 2020 compliance landscape comes down to:
• Reg BI
• Cybersecurity
• Fee calculations
• Cash Management
• Outside Brokerage Accounts
• Personal Trading
• Complaints
The main learning objective of this class is to give CCOs and owners of RIAs what they need to know to fulfill their regulatory responsibilities in the current environment.
Cathy Vasilev is a founder Red Oak Compliance Solutions, which advises 400 RIAs on regulatory compliance. With over 25 years of FINRA and SEC compliance experience at broker/dealers, serving registered reps as well as CCOs and CEOs at RIAs, Cathy co-founded Red Oak to serve RIAs in 2010. She previously served as the Assistant Vice President of Supervisory Systems and Controls at NFP Securities, an independent B/D, and RIA, and also was an Associate Manager for Prudential, where she supervised 75 representatives, performing all compliance functions for the branch. Cathy began her career as a stockbroker for Salomon Smith Barney. Cathy earned a Masters of Business Management degree. She is a member of the Association of Compliance Professionals, National Society of Compliance Professionals, Compliance and AML Professionals; and maintains FINRA Series 7, 24, 26, 63 as well as Life and Health licenses.
This webinar is eligible for one hour of CE credit towards the CIMA® and CPWA® certifications, CFP® CE, PACE credit toward the CLU® and ChFC® designations and live CPA CPE credit.
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