RIA Compliance and
Legal Strategies Conference
November 9, 2023
Stark & Stark, Hamilton, NJ
Seminars: 8:30 AM - 3:00 PM
Networking & Cocktails: 3:00 PM - 4:30 PM
4 CFP CE credits, only $95!
Join Us at Our New State-Of-the Art Office
Reserve Your Seat Today!
The RIA Compliance and Legal Strategies Conference is an essential event for registered investment advisors to gain a valuable understanding of current regulatory and compliance-related issues. Attendees will earn 4 CFP CE credits.
Registered investment advisors will gain a valuable understanding of current regulatory and compliance-related issues, including:
- How to successfully navigate a regulatory exam
- The importance of full disclosure
- The importance of good client agreements, including the SEC focus on hedge clauses
- Navigating the new Marketing Rule
- Implementing an effective client texting policy
- Pending new Cyber rule
- New Rule N-PX
- DOL Rule- Rollovers and Annual Retrospective (so misunderstood)
- Employment/restrictive covenant issues
- Industry M&A discussion (Doing it right)
You will leave with a wealth of knowledge and practical strategies to help you navigate the complex regulatory and legal landscape. Don't miss this opportunity to gain a competitive edge and register today!
Compliance and Disclosures: Highlighting the Importance of
Properly Drafted ADV, Agreements, and Policies
9:00am - 10:00am
Jeffrey Lang, Esq., Stephen Galletto, Esq., and Joseph Antonakakis, Esq.
The first thing prospective clients may see from an RIA is the Firm’s Form ADV Brochure. More importantly, it’s also likely one of the first documents regulators will look at during an exam. It is critical to ensure Form ADV is updated to comply with regulators’ guidance. Additionally, ensure your policies and agreements align with the SEC’s requirements.
State of the RIA Regulatory Landscape
10:15am - 11:15am
Stephen Galletto, Esq., Jeffrey Lang, Esq., and Ronald Minsky, Esq.
Compliance obligations are constantly evolving for RIAs. It’s what keeps you up at night. Preparing for your next regulatory exam can be stressful, but it doesn’t have to be. Take your skills to the next level with this seminar led by industry leaders, as they give immediate guidance on the key steps to conquering your next audit. We have spent decades preparing our clients for audits; join us for the best-kept secrets for success. We will provide a road map for addressing the most important day-to-day compliance and regulatory requirements.
Succession Planning – How Not to be Logan Roy
11:30am - 12:30pm
Rachel Stark, Esq.
As we learned from the TV Show, “Succession”, having a succession plan success is crucial to an investment management firm’s success. The focus of this seminar will be determining the options and structures for internal succession of an investment management firm.
12:30pm - 2:00pm
Cybersecurity Pitfalls: New Cybersecurity Rules, Proper Use of AI, and a State of the Industry Surrounding a Spot Bitcoin ETF
2:00pm - 3:00pm
Stephen Galletto, Esq., Joseph Antonakakis, Esq., Ronald Minsky, Esq., and Thomas Kellerman, Esq.
Your ability to secure your client’s money is determined by the policies and procedures you have in place for privacy and security. The next data breach is always right around the corner. Discover the key activities and protections you must have in place to protect yourself and your clients. Ensure you are prepared with our Cybersecurity Checklist and insider tips to ensure you are prepared. Additionally, learn more about the current wave of artificial intelligence and how advisers should approach this evolving tech. Finally, learn more about the current state of the dozens of spot Bitcoin ETF applications awaiting SEC review.
Networking & Cocktails
3:00pm - 4:30pm