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Redtail Technology > News > Best Practices > Practice Management Takeover with RIA in a Box on Nov 9

Practice Management Takeover with RIA in a Box on Nov 9

Category: Best Practices
Practice Management Takeover with RIA in a Box

Practice Management Takeover webinar - RIA in a Box

ABOUT this webinar
Topic: Conducting Your RIA Firm’s Annual Compliance Review
Description: Under Rule 206(4)-7 of the Investment Advisers Act of 1940, RIA firms are required to conduct an annual compliance review including the adequacy and effectiveness of the firm’s policies and procedures. We often find that RIA firms run into preventable compliance issues by failing to thoroughly perform and document the completion of the mandatory annual compliance program review. Join Chad Hartwick, Compliance Director at RIA in a Box for an overview on conducting your firm’s annual review. Topics to be discussed include:

  • Conducting a risk assessment
  • Advisory document review
  • Policies and procedures manual review
  • Holding a firm-wide annual compliance meeting

Register now for this webinar on November 9 at 10 am Pacific.

Redtail dog with a headset

Posted by: Redtail Technology
About: Redtail Technology, Inc. is a leader in web-based Client Relationship Management solutions for financial advisors.