2021 RIA Compliance Diagnostic Drill

2021 RIA Compliance Diagnostic Drill
Score your compliance with RIA regulatory requirements and learn about common deficiencies cited by regulators.

Before you attend this class, you'll be sent a link to download an Excel spreadsheet containing a self-assessment. You'll learn the areas of compliance in which RIAs are often found to be deficient by regulators and be able to score yourself privately in each area. Thus, you'll have a list of areas where you need to follow up and take action.  

This class is led by an instructor drawing upon over 25 years of FINRA and SEC compliance experience at broker/dealers, serving registered reps as well as CCOs and CEOs at RIAs.

Instructor Cathy Vasilev co-founded Red Oak Compliance Solutions, which advises 400 RIAs on regulatory compliance, 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 supervised 75 representatives as an Associate Manager at Prudential, performing all compliance functions for a branch.

Cathy began her career as a stockbroker for Salomon Smith Barney after earning 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.  

Compliance Services For A4A Members
Cathy Vasilev, cofounder of a compliance consultancy to hundreds of RIAs, is teaching a series of classes on A4A, and A4A membership includes a 20% discount on compliance services from Red Oak Compliance, plus free access to software for managing compliance content reviews more efficently. 

A4A members, please log in and sign up to receive a free compliance services account. 

Over the past decade, A4A earned the trust of CFP^®, CIMA^®, CPA, ChFC^®, and CFA^® fiduciaries by providing a new kind of continuing education curriculum, a content stream for running a practice about low-expense strategic investing based on MPT and focused on estate and income tax planning. A4A enables you to spend more time with clients and not researching investment, tax, and financial planning knowledge piecemeal from disparate sources. And, because A4A's content is member-sponsored, classes are free of commercial influence. 

Fritz Meyer, a revered independent economist, Robert Keebler, a leading accounting and legal educator for over three decades, and Craig Israelsen Ph.D., who has published monthly in Financial Planning since 1996 about low-expense portfolio design, form A4A's core curriculum for professionals. The core gives a fiduciary the minimum required to run a professional practice based on knowledge from trusted thought leaders. 

Adding a compliance instructor to A4A's curriculum integrates classes about compliance fills an important gap in A4A's curriculum for running a professional financial services firm. Integrating A4A's services with Red Oak's compliance solutions is a new benefit of A4A membership designed to increase efficiency in RIAs.

Compliance services for A4A members doesn't just teach you about compliance; it gives you a way to implement what you learn.