Upcoming Webinars


An Overview of the latest SEC Examination Statistics and 2018 Focus Areas, March 20, 2018 at 12:00 PM EDT

On February 12, 2018, the Securities and Exchange Commission ("SEC") submitted its budget request for the 2019 fiscal year. The budget request contains a wealth of valuable data as it relates to registered investment adviser ("RIA") compliance examinations conducted by the agency. This 30 minute webinar will discuss the latest new findings from this year's budget request highlighted by an increasing examination frequency rate compared to prior years. In addition, we will also discuss the 2018 SEC Examination Priorities including a focus on disclosures related to the cost of investing, electronic investment advice, wrap fee programs, and cybersecurity.

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An Overview of the state of California RIA Examination Program, March 22, 2018 at 12:00 PM PDT

On January 10, 2018, the California Department of Business Oversight released a report outlining the current status of the state's investment adviser examination program. This report contains a wealth of valuable data on the state of California RIA examination program. During this 20 minute webinar, we'll discuss the report's key insights including the number of firms examined each year, the increasing percentage of firms examined each year, and potential future changes to the program including the introduction of desk audits for lower-risk firms.

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Future of RIA Technology Panel with Orion CEO Eric Clarke, Redtail CEO Brian McLaughlin, and RIA in a Box President GJ King, April 24, 2018 at 12:00 PM EST

Join RIA in a Box President GJ King as he leads a discussion with investment adviser financial technology luminaries Eric Clarke of Orion Advisor Services and Brian McLaughlin of Redtail Technology on the future of RIA technology. This 60-minute webinar will also feature the release of the annual RIA in a Box technology survey providing the latest insights on the top CRM, portfolio management and reporting, and financial planning systems being used today by over 1,000 participating RIA firms.

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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.