Join MarketCounsel's founder and managing director, Brian S. Hamburger, JD, CRCP, AIFA, as he navigates through some of the most pressing legal and compliance considerations to becoming an independent Registered Investment Advisor (RIA), including:
Considerations and necessary steps that are integral to your due diligence process.
Proper transition planning and execution.
Planning for a new business venture -- legal, regulatory, and compliance.
Immediately following his presentation, Catherine Avery, CFA, George Kress, CFA, and Mark Ukrainskyj, CFA, will discuss their experiences as advisors and focus on their Secrets of Success. They will address timely and clear reporting, compliance, legal, regulatory, communication and other issues that may often be overlooked. They will also discuss roadblocks, large and small, that impede them from doing business optimally.
6-8 p.m. Thursday, Oct. 20
NYSSA Conference Center
Register today.
