Throughout the year, the Securities and Exchange Commission's ("SEC") Office of Compliance Inspections and Examinations ("OCIE") releases various risk alerts reminding investment advisers of compliance risks associated with specific rules. These risk alerts are typically released as a result of many compliance deficiencies uncovered during regulatory examinations. In addition to risk alerts, there are also several key regulatory changes throughout the year for RIA firms to be aware of.
This 30-minute webinar will recap the risk alerts and regulatory developments of 2019, and how your firm can mitigate these regulatory, operational, and financial risks in the year ahead. We will touch on examination priorities, cybersecurity, Form ADV part 3 (Form CRS), employees with disciplinary history, and the future of the advertising rule.
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