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New Form ADV Part 3 (CRS), Reg BI,
and Fiduciary Duty Seminar 2019
Charlotte - New Form ADV Part 3 (CRS), Reg BI, and Fiduciary Duty Seminar 2019
Wed, Oct 09
|Hilton Charlotte Center City
Do you have questions about the new ADV Part 3 (Client Relationship Summary)? Bring your questions! There will be Q&A sessions designed to let you ask the questions you want to ask!
Registration is Closed
See other eventsTime & Location
Oct 09, 2019, 9:00 AM – 4:30 PM
Hilton Charlotte Center City, 222 East 3rd St, Charlotte, NC 28202, USA
About the event
Topics
New ADV Part 3 (Client Relationship Summary)
Best interest and fiduciary standards as described by the SEC recent releases
How Regulation BI and related releases impact your RIA business
The SEC’s interpretation of the Investment Adviser Broker-Dealer Exclusion
Department of Labor’s Rules impacting RIAs
Tickets
Registration
Registration fee includes continental breakfast and lunch.
$200.00
Sale ended
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