2010 RIA Compliance Calendar At Advisors4Advisors.com
The 2010 RIA Compliance Calendar was posted for free distribution to members of Advisors4Advisors.com, a practice management portal site for independent financial advisors.
Advisors interested in getting a copy of the 2010 RIA Compliance Calendar can email me for a free six-month membership in advisors4advisors. It will take 10 minutes to register and fill in your profile and then you can download the 2010 RIA Compliance Calendar.
The RIA Compliance Calendar was created by Chris Winn of AdvisorAssist, a compliance consulting firm serving RIAs and B-Ds. It lists 27 key compliance activities for RIAs month-by-month, helping organize RIA compliance responsibilities on a timely basis.
Winn delivered a presentation entitled, “2010 Compliance Planning For RIAs” last Friday at the Financial Advisor Webinar Series. You can replay the session at advisorproducts.com. (Members of AdvisorsforAdvisors.com are eligible for free CFP CE credit on the replay.)
At the session, Winn answered about 15 questions from attendees. But we ran out of time and could not answer many questions chatted in by attendees. Winn, who writes a blog about RIA, B-D, and Registered Rep compliance issues at Advisors4Advisors.com, will be answering many questions that we did not have time to answer at the webinar.
Please join us at advisors4advisors.com to access Winn’s blog, obtain CE credit for the webinar, and download the 2010 RIA Compliance Calendar.
This entry was posted on Sunday, November 1st, 2009 at 11:53 am and is filed under General. You can follow any responses to this entry through the RSS 2.0 feed. You can leave a response, or trackback from your own site.