RIA Compliance and
Legal Strategies Conference
September 24, 2024
Hyatt Regency Bethesda
7400 Wisconsin Ave, Bethesda, MD 20814
Check In: 8:30 AM - 9:00 AM
Seminars: 9:00 AM - 4:15 PM
Networking & Cocktails: 4:15 PM - 6:00 PM
Join Us at the Capitol!
5 NASAA IAR and CFP CE credits*, only $125!**
Reserve Your Seat Today!
The RIA Compliance and Legal Strategies Conference is back in the Capitol City. 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 CFP and/or NASAA IAR CE credits.*
Registered investment advisers will gain a valuable insight on pertinent, including:
- SEC exam priorities
- Successfully navigating an SEC exam
- Client texting/social media policies and procedures
- Compliant disclosure of 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
- Navigating the new Marketing Rule
- 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.
*IAR and CFP continuing education credits pending approval.
**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
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.