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New Form ADV Part 3 (CRS), Reg BI,
and Fiduciary Duty Seminar 2019
Charlotte Registered Investment Adviser Compliance Seminar
Thu, Oct 18
|Harris Conference Center
With a guest speaker from the Division of Securities at the North Carolina Secretary of State's office.
Registration is Closed
See other eventsTime & Location
Oct 18, 2018, 9:00 AM – 4:00 PM
Harris Conference Center, 3216 CPCC Harris Campus Dr, Charlotte, NC 28208, USA
About the event
Topics
Best practices and recent developments in advertising and social media
Confronting cyber risks, data breaches, and privacy risks
How to prepare for regulatory examinations and avoid common deficiencies
Standing Letters of Authorization and other Custody Issues
How to design and maintain a compliance program
Tickets
Early Registration
For registering before September 25, 2018.
$200.00
Sale endedRegular Ticket
For registering on or after September 25, 2018
$250.00
Sale ended
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