RIA Compliance and 

Legal Strategies Conference

June 1, 2023
The Radnor Hotel, Wayne, PA

(Just 20 minutes from PHL) 
If you need accommodations, click here

Seminars: 10:00 AM - 3:30 PM 

Networking & Cocktails: 3:30 PM - 5:00 PM


4 CE credits, only $95!
You won't want to miss your chance...

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 CE credits (pending approval).

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
  • Navigating the new Marketing Rule
  • Implementing an effective client texting policy
  • The pending DOL retrospective
  • Defending an arbitration/litigation claim
  • Employment/restrictive covenant issues
  • Industry M&A discussion (Doing it right)
  • Crypto and ESG.

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!

  • Itinerary

  • Speakers

Compliance Battle Plan and Successfully Navigating

Your Next Regulatory Exam: Achieving Compliance & Managing Risk

Presented by:
Jeffrey Lang, Esq. and Stephen Galletto, Esq.

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

Growth Through Acquisitions:
Considerations, Transitions, and Deals

Presented by:
John Maloney, Esq., Rachel Stark, Esq., Ronald Minsky, Esq., and Stephen Galletto, Esq.

Do you have your sight set on growing your business? Inorganic growth has been the trend lately. Join us as we discuss the differences and options for acquisition, mergers, and deals and how each can impact your business.

The RIA Workplace, What's Next? Arbitration & Litigation.

Hiring. Confidentiality & Restrictive Covenants. Responding to Subpoenas

Presented by:
Scott Unger, Esq., Brian Carlis, Esq., and Stephen Galletto, Esq.

This session will dive into how you can best prepare for a smooth transition. We will prepare you for everything from hiring, including restrictive covenants and confidentiality, to preparing for arbitration and litigation and responding to third-party subpoenas. Breakaway RIAs need to be strategic. We will also cover the essential tips for ensuring a successful breakaway.

Cybersecurity Pitfalls: Do You Have a Plan in Place?

Presented by:
Stephen Galletto, Esq. and Joseph Antonakakis, 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.

Preparing for Your DOL Rollover Audit

Presented by:
Jeffrey Lang, Esq. and Joseph Antonakakis, Esq.

The DOL is here, but…are you ready? The game is afoot. The DOL’s PTE 2020-02 bolstered the rollover analysis and notice requirements and the retrospective review requirement when conducting rollover transactions. Learn how to accurately and adequately adhere to the DOL’s requirements so you can be prepared for future audits