RIA Regulatory Priorities & Inspection Deficiencies
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Cathy Vasilev10/14/20 4 PM EST Live CPAProgram Id: 956552987
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.
Cathy Vasilev advises registered investment advisers, insurance companies, hedge funds and broker-dealers on all areas of compliance, including advertising, supervision, surveillance, licensing and registration of personnel. After 10 years as a compliance manager at NFP Securities, and supervising a branch with 50 advisors at Prudential, Cathy in 2010 co-founded Red Oak Compliance Solutions, which is dedicated to ensuring the operational efficiency of each area and compliance with industry and company policies and procedures.
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.
