RIA Compliance and
Legal Strategies Conference
November 12, 2024
Stark & Stark
100 American Metro Blvd., Hamilton, NJ 08619
(Only one hour from Philadelphia and Newark Airports, with train option from Newark to Hamilton Station outside of our office)
Remote Option Available
Check In: 8:30 AM - 9:00 AM
Seminars: 9:00 AM - 4:15 PM
Networking & Cocktails: 4:15 PM - 6:00 PM
5 NASAA IAR (Products and Practices) and CE credits, only $125!*
Reserve Your Seat Today!
The RIA Compliance and Legal Strategies Conference is back at our offices in Hamilton, NJ. If you were unable to join us in DC, join us in person or remotely for this next session! The Conference is an essential event for RIAs and IARs to gain a valuable understanding of current regulatory and compliance-related issues. Attendees will earn 5 NASAA IAR (Products and Practices) and CE credits.
Registered investment advisers will gain a valuable insight on pertinent legal and compliance topics, including:
- SEC exam priorities
- Successfully navigating an SEC exam
- Client texting/social media policies and procedures
- Compliant disclosure and use of sub-advisers
- Marketing Rule compliance
- Appropriate use of testimonials, endorsements, and third-party ratings/rankings
- The importance of good client agreements, including the SEC focus on hedge clauses
- Updated cybersecurity topics
- Regulation S-P compliance
- Protecting client data
- Compliance Calendar recommendations (daily, weekly, monthly, quarterly, and annual compliance tasks)
- Form N-PX compliance
- Protecting clients from elder abuse or financial exploitation
You will leave with a wealth of knowledge and practical strategies to help you navigate the complex regulatory and legal landscape. Don't miss this opportunity to gain a competitive edge and meet with your compliance team at Stark & Stark – register today!
Lunch provided. Networking Reception will follow.
Please note: The Hamilton Conference IAR and CFP courses and credits are identical to the courses offered at the September 24 Washington DC Conference. Attendees who received credits at the DC Conference will not receive credit for courses completed at the Hamilton Conference.
*Refund policy at the bottom of the page.
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Speakers
From Compliance to Creativity:
Balancing Marketing Rule Compliance and Innovative Marketing
9:00am - 10:00am
Presented by:
Jeffrey Lang, Esq. and Joseph Antonakakis, Esq.
Jeffrey and Joseph discuss SEC Marketing Rule examination sweeps, and return to the basics of the SEC’s marketing rule surrounding general advertisements, newsletters, testimonials and endorsements, third party ratings and rankings, and performance advertising.
Defend, Detect, Prevent:
Being Proactive About Cybersecurity, Client Data Protection, and Fraud Prevention
10:15am - 11:15am
Presented by:
Stephen Galletto, Esq., Ronald Minsky, Esq., and Thomas Kellerman, Esq.
Stephen, Ronald, and Thomas review recent trends in cybersecurity, Regulation S-P and client data protection, and protecting your Firm and clients from wire fraud.
Basic Blocking and Tackling:
The RIA Playbook for Daily, Monthly, Quarterly, and Annual Compliance Tasks
11:30am - 12:30pm
Presented by:
Jeffrey Lang, Esq., Ronald Minsky, Esq., and Joseph Antonakakis, Esq.
Score a touchdown with your annual compliance calendar. Jeffrey, Joseph, and Ronald run back through the Xs and Os of your compliance calendar – including email/social media review, best execution review, gifts and gratuities logging.
Lunch
12:30pm - 2:00pm
Examination Evolution:
A Fresh Look at SEC Exam Trends and Insights
2:00pm - 3:00pm
Presented by:
Stephen Galletto, Esq., Jeffrey Lang, Esq., and Thomas Kellerman, Esq.
Stephen, Jeffrey, and Thomas provide valuable insight on the SEC’s recent exam priorities, from using sub-advisers to texting with clients.
Adviser Armor:
Detecting and Preventing Financial Exploitation and Mastering Powers of Attorney
3:15pm - 4:15pm
Presented by:
Stephen Galletto, Esq., Ronald Minsky, Esq., and Joseph Antonakakis, Esq.
RIAs have the unique ability to potentially protect clients from financial abuse and exploitation. Stephen, Jeffrey, and Joseph describe how to identify the red flags of client abuse and financial exploitation, knowing when to report abuse to relevant authorities, and understanding powers of attorney.
Networking & Cocktails
4:15pm - 6:00pm
Frequently Asked Questions
How many credits can I receive for attending the Conference?
We anticipate receiving approval for 5 IAR Products and Practices credits and CFP credits.
Am I responsible for reporting my attendance for credit?
No. The team at Stark & Stark will notify the appropriate entities of your attendance and credits.
What is the deadline to complete IAR CE credits?
IARs who are registered in states that have adopted IAR CE credits are required to complete twelve total credits by December 31, 2024, and by December 31 annually thereafter. Please review the NASAA FAQ for additional details on the courses that must be completed annually.
What states require CE credits?
As of July 30, 2024, a total of 19 states and jurisdictions have adopted IAR-level CE credit requirements. The list of jurisdictions can be found here.
Who does the IAR CE requirement apply to?
Per the NASAA FAQ: “Every investment adviser representative (IAR) registered with a jurisdiction that has adopted the model rule is subject to its CE requirements. The program applies to all registered IARs of both state-registered and federal covered investment advisers in that jurisdiction. A common misconception is that the requirement is triggered by where the IA firm is registered or notice filed. However, the requirement is applied based on where the IAR is registered regardless of where the IAR is domiciled or the firm is registered or notice filed.”
If I attend multiple Stark & Stark Conferences per year can I receive multiple rounds of credits?
It depends. Due to NASAA and Prometric guidelines, our courses are only approved to be taken once per IAR. You will only receive credit for attending one conference until a new curriculum is prepared. Stark & Stark generally holds 2-3 conferences per year. The course curriculum for Washington, DC 2024, Hamilton, 2024, and Spring 2025 (location TBA) are identical, so attending more than one will only fulfill five IAR CE credits.
If you have any general questions related to IAR CE credits, please review the NASAA FAQ which answers most questions. If you still have questions after reviewing the FAQ, please feel free to contact us at events@stark-stark.com.
Refund Policy
- Full Refund: Requests submitted at least 24 hours or more prior to the conference start date will receive a full refund of registration fees.
- No Refund: No refunds will be issued for requests submitted less than 24 hours before the conference start date or for no-shows.
- Refund Process: All refund requests must be submitted in writing to marketing@stark-stark.com and will be processed within 30 days of receipt. Requests must include the attendee’s full name, registration details, and reason for the refund request.
- Force Majeure: In the event that the conference is cancelled due to unforeseen circumstances (e.g., natural disasters, pandemics, etc.), registrants will receive a full refund of registration fees.