Tomorrow, the TD Ameritrade LINC Conference kicks off in Orlando. This year’s annual registered investment adviser (“RIA”) industry event features close to 2,000 advisors in attendance. Firm principals will find an array of educational sessions to attend ranging from investments to scaling growth to regulatory compliance. With so many options to choose from, we’ve compiled a guide for a Chief Compliance Officer (“CCO”) or RIA firm principal focused on compliance in attendance at this week’s conference highlighting the top 5 compliance-related sessions to not miss.
Compliance themes in focus for this year’s event include cybersecurity, Department of Labor Fiduciary Rule, and new Rule 206(4)-2 “Custody Rule” guidance as it relates to a standing letter of authorization (“SLOA”). Here are our top 5 compliance-related sessions to check out:
- Are you Cyber-Savvy? (Wednesday, January 31, 11:10AM-12:00PM): Brian Edelman, one of the industry’s leading cybersecurity experts, leads an interactive session on how advisors can make their offices less prone to cyber attacks.
- Financial Fraud: The Role You Play in Prevention (Wednesday, January 31, 2:00PM-2:50PM): Fraudulent wire transfers pose a major business risk to RIA firms. This session will focus on methods to identify and prevent such fraud.
- Retirement Plan Legislative and Regulatory Update (Thursday, February 1, 2:00PM-2:50PM): Thomas Clark, one of the industry’s leading fiduciary rule experts, will discuss the latest developments related to the rule and its potential impact on IRAs and retirement plans.
- Navigating the Custody Rule (Thursday, February 1, 3:10PM-4:00PM): In early 2017, the SEC issued a much-anticipated regulatory guidance related to the Custody Rule. This session will discuss the seven conditions outlined by SEC sraff that must be met in order to avoid the Custody Rule surprise examination requirement.
- Standards of Conduct for Brokers and Advisers: Can We Find Common Ground? (Friday, February 2, 9:40AM-10:30AM): DOL fiduciary rule expert, Skip Schweiss of TD Ameritrade, will join leaders from the Investment Adviser Association and SIFMA to debate whether there is room for advisors and brokers to compromise in regards to a potential uniform fiduciary standard.
The exhibit hall also features a number of technology and other types of vendors that provide RIA compliance support. In particular, CCOs should be sure to check out the Veo Village which features over 80 kiosks offering an array of RIA technology solutions.
And of course, don’t forget to demo the latest new features of our MyRIACompliance® online RIA compliance management software including the new employee trade monitoring module in the Veo Village. In addition, our executive team will be in attendance to discuss any compliance questions related to the significant Form ADV changes which are now in effect.
RIA in a Box LLC is not a law firm, investment advisory firm, or CPA firm. RIA in a Box LLC does not provide legal advice or opinions to any party or client. You should always consult your relevant regulatory authorities or legal counsel if applicable.