Clearing the Air IX
from The RIA Compliance Collective
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/
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