Webinars
Event
- Category:
- Financial Advisor Webinar Series
- Title:
- 2012 Compliance Priorities For RIAs
- Presenter:
- Christopher Winn
- Company:
- AdvisorAssist, LLC
- When:
- 01/06/12 4:00 PM EST
- Slides:
- You must be registered and logged into download the slides
- Replay:
- You must be registered and logged into view this replay
- CE Credit:
-
CFP®
Program Id:580150416
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4.2 (75) |
Description
Do you have a compliance plan for 2012? How will the switch of 3,200 RIAs from federal to state regulators affect you?
At this webinar, compliance consultant Chris Winn of AdvisorAssist will help you with:
• 2012 compliance planning
• Insights on the transition from SEC to state oversight
• Tasks for closing out 2011 compliance issues
• Integrating compliance into day-to-day operations
Speaker Chris Winn is founder and managing principal at AdvisorAssist, a management consulting firm serving advisors, and he has 17 years of experience in regulatory compliance for RIAs, reps, and B/Ds.
This webinar is eligible for CFP CE credit.
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Average user rating from: 75 user(s)
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0 of 0 people found the following review helpful
Excellent - would love to have Chris be able to give more time to targeted compliance subject matters-issues like custody vs non-custody and approaches for doing required annual risk assessments for example. Chris is the clearest speaker on compliance I have ever heard. He seems to make the complex understandable. A very rare talent in his field.
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Reviewed by polarbearJanuary 06, 2012 Top 10 Reviewer View all my reviews Report this review |
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0 of 0 people found the following review helpful
Chris Winn did a good job. I'm a CCO and he brought up a few things I need to adopt.
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Reviewed by joanmJanuary 06, 2012 Top 500 Reviewer View all my reviews Report this review |
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0 of 0 people found the following review helpful
It was very helpful and brought up some compliance procedures that we will develop within the firm, such as the compliance calendar. I look forward to Chris' next webinar.
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Reviewed by karend303January 06, 2012 Top 500 Reviewer View all my reviews Report this review |
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0 of 0 people found the following review helpful
Very good reminder of best practices for compliance. Perfect timing as new year is starting off.Good question about hot button issues - nice to keep them top of mind. Process Composer interesting item - will have to check them out.
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Reviewed by Webinar AttendeeJanuary 06, 2012 #1 Reviewer View all my reviews Report this review |
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0 of 0 people found the following review helpful
Very informative and well done.
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Reviewed by jejoseph1January 06, 2012 Top 1000 Reviewer View all my reviews Report this review |
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