Clearing The Air VI
from The RIA Compliance Collective Hosted by Collin O'Bryant, Megan Campbell, and Ivan Barretto
Introduction Topic I - Form CRS Update Topic II - CD Spoofiing Websites Topic III - Protecting Senior Investors Topic IV - Calculating Regulatory AUM Outro Form CRS Instructions https://www.sec.gov/rules/final/2019/34-86032-appendix-b.pdf SEC Risk Alert: Beware of Spoofed Websites Offering Phony Certificates of Deposit https://www.sec.gov/oiea/investor-alerts-and-bulletins/ia_phonycds SEC How to Protect Senior Investors https://www.sec.gov/files/how-the-sec-works-to-protect-senior-investors.pdf 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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