August 21 date SOLD OUT – Second session added – August 26
As the U.S. Securities and Exchange Commission (SEC) ramps up its examination of Never-Before-Examined investment advisers, now is the time for Registered Investment Advisors (RIAs) to prepare their firms to ensure a smooth examination process.
To learn more, join me this August 26th at 2:00PM ET for a free webinar offered for advisory firms where I will discuss the impact of the Never-Before-Examined list and what RIAs can do today to feel confident in the event of an audit. SEC and Non-SEC advisors will both benefit from this free webinar that also discusses best practices to encourage a firm-wide culture of compliance.
This webinar is offered by Junxure – Space is limited so register today at https://student.gototraining.com/rt/3427560734083903488