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.

Thursday, October 22, 2026 | 12:00 PM - 1:00 PM
(UTC-05:00) Central Time (US & Canada)

Hosted on Zoom

Attendee
Name Start Time Timezone
Protecting Your Book and License: RIA Risk Mitigation Strategies12:00 PMCDT

Continuing Legal Education (CLE) credits are pending in Alabama, Arizona, Arkansas, California, Colorado, Florida, Illinois, Kansas, Louisiana, Minnesota, Missouri, Nebraska, Nevada, New Mexico, New York, Oklahoma, South Carolina, South Dakota, Tennessee, Texas, and Utah. CLE credit application and approval processes vary per state and may not be available after certain state deadlines. Please email education@spencerfane.com if you have questions about credits.