(Just 20 minutes from PHL)
If you need accommodations, click here.

5 CE credits, only $95!
You won't want to miss your chance...

The RIA Compliance and Legal Strategies Conference is an essential event for registered investment advisors to gain a valuable understanding of current regulatory and compliance-related issues. Attendees will earn 5 CE credits (pending approval).

Join Stark & Stark attorneys as they discuss various topics, including how to successfully navigate a regulatory exam, the importance of full disclosure, the pending DOL Retrospective, texting, cyber/information security, defending an arbitration/litigation claim, employment/restrictive covenant issues, and M&A transactions.

You will leave with a wealth of knowledge and practical strategies to help you navigate the complex regulatory and legal landscape. Don't miss this opportunity to gain a competitive edge and register today!

Itinerary

Compliance Battle Plan and Successfully Navigating Your Next Regulatory Exam: Achieving Compliance & Managing Risk

Presented by:
Jeffrey Lang, Esq. and Stephen Galletto, Esq.

Growth Through Acquisitions: Considerations, Transitions, and Deals

Presented by:
John Maloney, Esq., Rachel Stark, Esq., Ronald Minsky, Esq., and Stephen Galletto, Esq.

The RIA Workplace, What's Next? Arbitration & Litigation. Hiring. Confidentiality & Restrictive Covenants. Responding to Subpoenas

Presented by:
Scott Unger, Esq., Brian Carlis, Esq., and Stephen Galletto, Esq.

Cybersecurity Pitfalls: Do You Have a Plan in Place?

Presented by:
Stephen Galletto, Esq. and Joseph Antonakakis, Esq.

Preparing for Your DOL Rollover Audit

Presented by:
Jeffrey Lang, Esq. and Joseph Antonakakis, Esq.