November 9th, 2023
8:30 AM - 5:00 PM EST
Stark & Stark
100 American Metro Blvd.
Hamilton, NJ 08619
Join us on November 9th for a RIA Compliance and Legal Strategies Conference. 4 CFP CE credits, only $95! Reserve Your Seat Today!
About this event
Check-in begins at 8:30 AM. We will start the seminars promptly at 9 AM.
4 CFP CE credits, only $95! Join Us at Our New State-Of-the Art Office Reserve Your Seat Today!
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 4 CFP CE credits (pending approval).
Registered investment advisors will gain a valuable understanding of current regulatory and compliance-related issues, including:
- How to successfully navigate a regulatory exam
- The importance of full disclosure
- The importance of good client agreements, including the SEC focus on hedge clauses
- Navigating the new Marketing Rule
- Implementing an effective client texting policy
- Pending new Cyber rule
- New Rule N-PX
- DOL Rule- Rollovers and Annual Retrospective (so misunderstood)
- Employment/restrictive covenant issues
- Industry M&A discussion (Doing it right)
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!