top of page
New Form ADV Part 3 (CRS), Reg BI,
and Fiduciary Duty Seminar 2019
Raleigh Registered Investment Adviser Compliance Seminar
Fri, Oct 19
|Aloft Raleigh
With a guest speaker from the Division of Securities at the North Carolina Secretary of State's office.
Tickets Are Not on Sale
See other eventsTime & Location
Oct 19, 2018, 9:00 AM – 4:00 PM
Aloft Raleigh, 2100 Hillsborough St, Raleigh, NC 27607, 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
bottom of page