1. Catalog
  2. What Compliance Means for You and Your Firm
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What Compliance Means for You and Your Firm
Course Information
Content Level: Intermediate
NAPFA Subject Area: K-Marketing & Practice Management
Course Description
This program will provide advisors with a broad-based understanding of the compliance and regulatory obligations of an RIA. The core areas of an advisor’s compliance program will be broken down and discussed as they apply to a fee-only advisory firm.
Learning Objectives
  1. Learn the foundation of an RIA’s compliance program
  2. Obtain an increased understanding in core compliance areas
  3. Understand the importance of having policies and procedures that meet the compliance risk
Speaker
Lori Neidel, CRCP 

Lori Neidel is the founder of the Law Office of Lori J. Neidel, LLC, a law firm providing legal services to independent RIAs, and of Adviser Compliance Services, a compliance consulting firm providing outsourced compliance services to RIAs.

Previously, Neidel was the Chief Enforcement Counsel at the Missouri Securities Division whereby she led the Division’s staff of examiners and investigators bringing enforcement actions for violations of the Missouri Securities Act. She served for four years as Vice Chair of the Board of Trustees of the Missouri State Employee Retirement System, the state of Missouri’s $9 billion public pension retirement fund.

Neidel received her undergraduate and law degrees from Saint Louis University. In 2009, she earned the CRCP designation from the FINRA Wharton Institute for Certified Regulatory and Compliance Professionals.

Summary
Availability: Retired
Cost: Member: $39.00
Non-Member: $59.00
Credit Offered:
No Credit Offered
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