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Thu, Oct 18


Harris Conference Center

Charlotte Registered Investment Adviser Compliance Seminar

With a guest speaker from the Division of Securities at the North Carolina Secretary of State's office.

Registration is Closed
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Time & 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


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

Succession planning/business continuity planning

Reasons to Attend

Learn industry-specific cybersecurity risks and actions you can take to mitigate those risks

Learn best practices for advertising, including how to avoid social media pitfalls

Learn how to design an effective compliance program for your Investment Adviser

Hear from experts on best practices for preparing for and going through a books and records examination

Learn the most common deficiencies identified by regulatory examiners

All registration fees will be fully refunded if event is cancelled due to failure to meet minimum attendance requirements. Registrants may cancel fifteen (15) days or more prior to event and receive a refund equal to 50% of registration fee.

This seminar does not create an attorney-client relationship with anyone involved unless there is a written agreement creating said relationship. The information contained in this seminar is provided for informational purposes only, and should not be construed as legal advice on any subject matter. No recipients of content from this seminar should act or refrain from acting on the basis of any content included in the site without seeking the appropriate legal or other professional advice on the particular facts and circumstances at issue from an attorney licensed in the appropriate state. Parker MacIntyre expressly disclaims all liability in respect to actions taken or not taken based on any or all the contents of this seminar.


  • Early Registration

    For registering before September 25, 2018.

    Sale ended
  • Regular Ticket

    For registering on or after September 25, 2018

    Sale ended



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