[Hybrid Event] RIA Compliance and Legal Strategies Conference

Registered investment advisers will gain a valuable insight on pertinent legal and compliance topics, including:

• Successfully navigating your next SEC examination
• Implementing AI tools in a compliant manner
• Client texting/social media policies and procedures
• Electronic communication recordkeeping requirements
• Understanding Bitcoin and integrating it into client portfolios
• Understanding and implementing new requirements under Regulation S-P, including an Incident Response Plan
• Maintaining privacy and confidentiality of client information
• Understanding the SEC’s position on held-away asset platforms, such as Pontera
• Drafting investment advisory agreements that comply with SEC regulations and protect your firm
• Preparingand filing an accurate Form ADV
• Preparing policies and procedures that align with your firm’s practices
• Accurately calculating fees
• Complying with custody rules
• Supervising on-site and remote personnel
• Completing a successful merger or acquisition
• Admitting additional owners

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 meet with your compliance team at Stark & Stark – register today!

Breakfast and lunch provided. Networking Reception will follow.

We anticipate receiving approval for 5 IAR (3 products and practices and 2 ethics/professional responsibility) and CFP credits.