The Path to Becoming an Independent Registered Investment Adviser: Part 2
A Guide to the Registration Process and the Continuing Obligations of Registered Investment Advisers
Thinking of becoming an independent registered investment adviser? Watch this informative two-part ComplianceCast webinar series that digs deep into the many considerations of launching your own investment advisory firm.
This 2-part ComplianceCast series will provide practical guidance to help steer you throughout the exciting journey of going independent!
In Part 2 of our series, speakers will address the timeline for registration, the foundations of compliance, and how to ensure you are ready post registration for your first regulatory exam.
Speakers:
Korrine Kohm, Director of Retail Wealth Manager Services at CSS
David Porteous, Partner at Faegre
Fill in & submit the form below to download this ComplianceCast™.
Subscribe to the CSS Blog
CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.