Compliance Resources For RIAs
Class Description: RIA Regulatory Priorities & Inspection Deficiencies
Instructor Bio: Cathy Vasilev
Compliance Services Discount For A4A Members
PPP Disclosure Requirements For RIAs
PPP Loan Forgiveness: What CPAs Should Do Now; Journal Of Accountancy
Reg BI, Cybersecurity, & Other Hot Compliance Topics
Compliance Services For A4A Members
Cathy Vasilev, cofounder of a compliance consultancy to hundreds of RIAs, is teaching a series of classes on A4A. To save you time and improve your business processes, A4A membership now includes a 20% discount on compliance services from Red Oak Compliance, plus free access to software for managing compliance 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.
State and Federal Registered Investment Advisers’ (RIA) regulatory responsibilities must be top of mind, even during the Covid pandemic.
In this class, investment adviser representatives (IAR) learn about the latest published exam priorities of the SEC and state regulators. In addition, common deficiencies found during exams and how regulators use "sweep" exams to identify emerging compliance issues are also discussed, including:
• Published Exam Priorities for the SEC and State regulators
• Industry Outreach conducted through Sweep exams to determine industry procedures and identify issues
• How regulators use data to determine who to audit and what information to examine
• Common deficiencies uncovered during exams
• The COVID response expected by the regulators
• PPP Loan: Did you take one? What now?
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A4A is a news and professional education solution for a fiduciary who:
-- holds a CFP®, CIMA®, CPA, CPA/PFS, CFA or other designation requiring CE annually
-- values research by Fritz Meyer, Craig Israelsen, Bob Keebler or Andy Gluck
-- broadly diversifies a core of client portfolios in low-expense funds
-- strategically invests based on MPT and economic fundamentals
-- advises on tax and financial planning as well as investing
-- is building a brand as a thought leader locally or in a niche
-- values thought leadership when bad news breaks
-- wants CE aligned with Advisor Products client education platform
-- wants 24/7 CE with objective financial, tax and investment planning news analysis
A4A is accredited by the CFP Board, IWI, and NASBA.
Want to boost your local search-engine ranking with thought leadership from Fritz Meyer, Bob Keebler, and Craig Israelsen?