Clearing the Air IX

Clearing the Air IX

Intro

Topic I – Remote Regulatory Examinations

Topic II – Wrap Fee Program Update

Topic III – Financial Planning Retainer Model

Outro

Helpful Links:

5 tips to prepare for an RIA exam

https://www.riacc.io/post/2017/10/13/5-tips-to-prepare-for-an-ria-exam

SEC Wrap Fee Programs Investor Alert

https://www.sec.gov/oiea/investor-alerts-and-bulletins/ib_wrapfeeprograms

Financial Planning: Why retainer fees pose question for regulators?

https://www.financial-planning.com/news/napfa-nasaa-discuss-retainer-fees

Podcast Vendor Information

Podacast.co

www.podcast.co

Company Information

RIA Compliance Concepts Toll Free: 1-833-RIACCIO

Email: [email protected] 

Website: www.riacc.io 

LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ 

Twitter: https://twitter.com/RIAComplyCEP 

Facebook: https://www.facebook.com/RIAComplianceConcepts/ 

Instagram: https://www.instagram.com/riacomplianceconcepts/

Host Information Ivan Barretto, Managing Director

LinkedIn: https://www.linkedin.com/in/ivanbarretto30/

Megan Campbell, Managing Director

LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/

Collin O’Bryant, Senior Consultant

LinkedIn: https://www.linkedin.com/in/collin-o-bryant-485416a1/