Practice Foundation - Compliance

This presentation is an overview of what an RIA’s compliance obligations entail, covering core compliance topics such as the Form ADV, role of the Chief Compliance Officer, advertising your advisory services, books and records requirements, and custody. This is a good overview of compliance for firms of all sizes, but especially for newer firms.  

Learning Objectives:

• Participants will understand the role of compliance in serving clients.
• Participants will understand how to better work with compliance professionals to legally and ethically serve clients.
• Attendees will understand the latest compliance issues.

Click here for complete information about the NAPFA Practice Foundation program.