RIA Family of Companies

Webinar Series - Applying a Compliance Framework - 7/12 (Advisor4Advisors)


We are partnering with Advisor4Advisors with a webinar series titled Applying a Regulatory Framework to Your Compliance Program.

Who: Cory Roberson  Founder of RIA Review

Thu, 12. July 201804:00 PM EST - 05:00 PM EST
IMCA - 1 credit
Live CPA - 1 credit
Program Id: 356393283

Advisors4Advisors Compliance Webinar Series Class 1 of 4

Register now for a RIA compliance class hosted by Cory Roberson, founder of RIAReview.com.

This webinar puts a magnifying glass on compliance in an effort to improve oversight. This session covers:

Typical Firm Reporting levels - breaking down your jurisdictional obligations
SEC and State Compliance - regulatory overlaps
FINRA connections - application of SRO's
To collaborate with our presenters' materials, subscribe to a free trial of our client education platform.

Cory Roberson, founded RIAReview.com, an online platform used by 130 RIAs to streamline and organizes the development and maintenance of annual internal compliance reviews for Registered Investment Advisers. Roberson Consults Group has served more than 160 state and federal Registered Investment advisers since 2011. Cory has volunteered as an English teacher and business coach to young entrepreneurs around the world.

This webinar is eligible for one hour of CE credit towards the CIMA® and CPWA® certifications and live CPA CPE credit.   Sign Up Here: https://advisors4advisors.com/webinars/event/503-applying-a-regulatory-framework-to-your-compliance-program

RIA Review users will have access to podcast materials.

Our Mission: “Serving the Investment Community to Make a Social Impact”

Cory Roberson is Principal of RIA Review, a compliance and document management portal (RIAreview.com) - 130+ users and growing.  He is also Principal of RIA Consults -Roberson Consults Group), a consulting firm providing compliance, operations, and business development services for registered investment advisors and next-gen fintech entrepreneurs (RIAconsults.com) more than 160 SEC & State advisors clients across the US (including a few in Europe).  Our third platform, RegTech Products is currently in development.   

As a social entrepreneur, through his mission-driven arm SoCap Missions provides business support group sessions and has volunteered for more than 15 youth programs in locations such as like S. Korea, China, S. Africa, Thailand, and India.

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