RIA Compliance University
My RIA Lawyer helps RIAs remain compliant with RIA Compliance University.
RIA Compliance University
Every day, it seems like there is news of another RIA (Registered Investment Advisor) that’s run afoul of the Investment Advisors Act of 1940. Sometimes, these violations are flagrant acts to deceive investors. More often than not, though, SEC compliance issues are mistakes. Unfortunately, once the government brings an enforcement action against the RIA, it’s too late to correct the error and move forward without penalties that might include fines and even prison time.
My RIA Lawyer has created an RIA Compliance University that helps keep you informed, educated and up to date on regulatory changes. Our monthly compliance services help you complete your compliance requirements. Sign up for RIA Compliance University today to ensure that you avoid costly SEC violations.
What’s Included in RIA Compliance University?
RIA Compliance University covers all the topics needed to ensure compliance. The university includes:
- Monthly pre-recording training
- Monthly live question and answer sessions
- Guides, templates, and reports
A paid service of $99/month and will include pre-recorded video access through your Membership Portal as well as access to the private Compliance University Facebook group. The wealth of information makes it much easier to comply with the rules and regulations.
Recorded Video Training
The monthly video training is extremely popular. These training videos cover an abundance of topics that you need to know to stay in compliance. Currently, the most popular topics include client complaints, outside business activities, IAR onboarding, terminations, silent owners, unlicensed owners, cryptocurrency and more. Our lawyers provide up-to-date information on topics that are the most important to RIAs. You will learn something new each month that you can use when running your business.
Be sure to take notes and share the information you have learned with your colleagues. Then you won’t have to worry about any surprises down the road.
Live Question And Answer Sessions
You will also have access to an hour-long phone call every month. You can ask questions regarding information you learned in the live video training, or you can ask questions related to issues you’re dealing with currently. Along with getting answers to your questions, you’ll also hear questions from others. They are dealing with the same compliance and regulatory issues as you are, so you can learn quite a bit from the answers. Even when questions aren’t related to issues you’re facing now, you’ll often encounter them down the road. Thus, you’ll be armed with the information needed to make wise decisions.
Monthly Material
Once you sign up for RIA Compliance University, you’ll receive free materials each month. These include templates that you can use to ensure compliance, as well as guides and how-to videos. These free materials will build on what you’ve learned in the live video training and question and answer sessions. When you combine these materials with those training sessions, you’ll know what it takes to get into and stay in compliance.
Schedule A Strategy Session
RIA Compliance University is just one of the tools we provide. You can schedule a free online strategy session with My RIA Lawyer. During the session, our RIA compliance attorney can determine if you need additional help to ensure compliance. This might include C-suite services or general counsel. Sign up online today so you can take the first step in achieving and maintaining compliance.
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Why Choose My Ria Lawyer?
- Experts in the RIA Space – My RIA Lawyer is the only law firm solely focused on the RIA space. By focusing the firm on investment advisers, our clients receive specialized services and advice.
- Experienced – My RIA Lawyer has a proven record of protecting financial advisers by helping them create strong compliance systems and empowering them to fight back when regulators threaten their business and livelihood.
- Custom Solutions – You and your business are unique. That’s why we don’t use fill-in-the-blank form documents. Unlike non-attorney service providers, we customize documents for your business. Personal attention is central to our mission.
- Highly Responsive – We strive for rapid return calls. No going dark or waiting days to hear back.
- Free Consultation – Take part in a free, 30-minute online strategy session to go over your case.
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