[Event] RIA Compliance and Legal Strategies Conference

November 9th
Hamilton, NJ
Stark & Stark
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Stark & Stark

November 9th, 2023
8:30 AM - 5:00 PM EST
Stark & Stark
100 American Metro Blvd.
Hamilton, NJ 08619
$ 95.00

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!

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations. Attorney Advertising.

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