As an advisory firm, whether registered with the state or the SEC, compliance is critical in safeguarding the best interests of your clients and the reputation of your firm. As such, you’ve likely already implemented foundational compliance practices, including firm registration, employee trade monitoring, and annual reviews, as part of your operational framework.
However, the most effective compliance programs are both comprehensive and ever-evolving, aiming beyond the basics to achieve exceptional results. Join this webinar to learn how to tackle communications, cybersecurity, IAR CE requirements, and more. Whether you’re a seasoned compliance professional or just beginning to shape your organization’s program, the strategies, techniques, and tips outlined in this webinar will help to round out your compliance processes for continued success.
These 5 strategies were covered in this webinar:
- Archiving key communications
- Addressing cybersecurity risk management
- Determining IAR CE requirements
- Understanding the overlap Reg BI Rule and Fiduciary Duty
- Addressing the DOL Rollover Rule
Please note: 1 IACCP continuing education credit is offered for this webinar.
