2017 Investment Adviser Conference
RIA Compliance Consultants will hosted a compliance conference on Thursday, August 24 2017. Our Senior Compliance Consultants spoke on topics concerning registered investment advisers.
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Product Description
On August 24, 2017 RIA Compliance Consultants hosted an investment adviser compliance conference. During the conference, our Senior Compliance Consultants spoke about Creating a Compliance Calendar, DoL Fiduciary Rule Updates, Changes to the Form ADV, SEC Exam Regulatory Findings, SEC Enforcement Actions, and Cybersecurity Policies and Procedures.
For $95 you can get access to the slides and recordings from those 6 presentations through your online subscription account.