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)
• Crypto
• ESG

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!