Recorded Webinar - Conducting Service Provider Compliance Due Diligence Reviews
| Quantity |
Product Description
RIA Compliance consultants hosted a webinar, "Conducting Service Provider Compliance Due Diligence Reviews," on Thursday, July 12, 2012 from 12:00 p.m. to 1:00 p.m. Central.
Section 206 of the Investment Advisers Act of 1940 imposes a fiduciary duty on all investment advisers. There are many requirements that fall on an investment adviser because of its fiduciary role with its clients. One of these many requirements is to conduct a reasonable investigation concerning any third-parties that provide services to the investment adviser, especially client-related services. During this webinar, RIA Compliance Consultants discuss how investment advisers can meet their fiduciary duty by developing a due diligence review process when selecting third-party service providers hired by the firm. Our consultants provide advice on what items should be covered during an initial due diligence review and discuss what should be included in follow-up reviews.