Curing Compliance Insomnia: Top 5 Compliance Challenges Keeping You Up At Night

Is compliance keeping you up at night?

Ever-changing regulation, the threat of an impending exam, and worrying about whether your reps are texting clients are among just a few of the compliance concerns wealth managers face daily.

Join us Tuesday, April 30th at 11am ET / 8am PT as we address the top 5 compliance challenges for wealth managers and how to mitigate them.

This session will cover:

• Evolving regulation – new and updated rules and regulatory initiatives
• SEC and State regulatory exams
• Managing off-channel electronic communications
• Advertising & Marketing – new rules, testimonials
• Fees and billing – errors, deficiencies, proper disclosure

Our Speakers

• Kerry Rider, Managing Director, ACA Wealth

• Sarah Alderman, Director, ACA Wealth