Upcoming Webinars


How to Prepare for an SEC RIA Regulatory Audit, June 28, 2018 at 12:00 PM EDT

Join RIA in a Box President GJ King as he leads a jam-packed 30 minute webinar on how to prepare for an RIA regulatory examination. This webinar is relevant to both state and SEC-registered firms and will include topics such as: how to establish an effective compliance program that can be demonstrated during an exam, the key components of an exam, and the possible outcomes of such an exam. With RIA audit frequency increasing at both the state and federal levels, this is a session you won't want to miss.

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To schedule a member of the RIA in a Box team to speak at an investment adviser industry event, click here.