Independent Broker Dealer Consortium

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IBDC-RIAC SPOTLIGHT WEBINAR SERIES PRESENTS:

RIA Claims and New Regulations

Date: June 16, 2022
Time: 1:00 pm
Duration: 1 Hour
Where: Zoom Screen From the Comfort and Safety of your home

Past Webinar

Please join IBDC-RIAC Alliance Member, Denis Dice, partner with Winget, Spadafora and Schwartzberg and Kevin Miller, General Counsel for Carson Group as they take you through the new regulations that are impacting RIAs and recent claim trends we are seeing involving RIAs.

During this presentation, Denis and Kevin will discuss:

Migration trends to the RIA model.

Monitoring and supervising transition to RIA.

Surveillance of advisory accounts.

Compliance with Reg. BI.

New Fiduciary Rules and Marketing Rules.

CLE credit will be offered for the following states: New York, New Jersey, Connecticut, Florida and Texas.

SPEAKERS FOR THIS PRESENTATION ARE IBDC-RIAC ALLIANCE MEMBERS:

Denis C. Dice

Denis C. Dice

Partner

Kevin J. Miller

General Counsel

Douglas A. Wright

Chief Compliance Officer

lilmorv

Lilian A. Morvay

Principal and Founder of IBDC-RIAC