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Compliance Connections Webinar: 2021 Investment Advisor Year-End Review and Critical Compliance Reminders


During this webinar our panelists from Foreside and Richard L Chen Law Firm discussed year-end compliance priorities for Investment Advisors, including:

  • Key regulatory initiatives and hot topics from 2021
  • The criteria investment professionals should be looking at when making rollover recommendations
  • Best practices for cybersecurity
  • Preparing for Annual ADV Update
  • Annual compliance reviews, renewals, and reminders
  • Annual compliance training

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