Protecting Your Book and License: RIA Risk Mitigation Strategies

Risk exists in all aspects of RIA formation and operations. Managing that risk allows advisers to focus more fully on client service and growth. This presentation will help you evaluate threats and implement strategies to mitigate key risks, such as:

• Poor Corporate Infrastructure
• Inadequate Compliance Programs
• Operational Deficiencies
• Mishandling Customer Complaints
• Insufficient Succession and Continuity Plans

This webinar is intended for RIA executives, IARs, Sub-Advisers, including TAMPs, and other professionals who work in the industry.

 

Michael MacPhail, Partner, mmacphail@spencerfane.com
Melissa Hoag Sherman, Partner, msherman@spencerfane.com