IB Webinar: Starting out as a Registered Investment Advisor 1/21 bit.ly/1xD1CjG Learn about the basic compliance rules and obligations facing new registered investment advisors, including registration rules, internal procedures you’ll need to adopt and documents to maintain. Find out about third-party services that can help you set up as an advisor and meet your ongoing compliance efforts. We will provide an overview of many of the key compliance issues new RIAs face including: Registration requirements and filings; What it means to have “custody” over client funds and assets; Advertising your services to clients, including limits on performance advertising and use of testimonials; What you should (and should not) include in your agreement with your clients; Fee arrangements with clients; Written compliance policies and procedures and a formal Code of Ethics; Books and records obligations; and Ongoing regulatory filing obligations. This webinar will highlight the key things to know in these areas and the information and services that Interactive Brokers and third-party providers offer to help advisors address these requirements. So please join us for this informative overview of registered investment advisors’ legal and compliance obligations, and the services available to advisors. The contents of this presentation have been prepared for educational and information purposes only and do not constitute legal advice or opinions.
Posted on: Mon, 19 Jan 2015 20:05:26 +0000
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