Kerry Zinn and Tanya Lambrechts, attorneys with Bressler, along with compliance expert Vivian Velasquez of V&V Consulting Group provide their legal and compliance perspective on Regulatory & Litigation Issues Registered Investment Advisers will Confront on the Heels of COVID-19. This presentation discusses four major issues that RIAs should consider:

  • Pandemic business continuity plans and mitigating regulatory risk
  • ADV reporting of Payment Protection Plan (“PPP”) loans or other material facts
  • Cybersecurity issues associated with work-from-home policies
  • Regulatory and litigation risks associated with the market and the “new normal”

CLE credits approved in NY, and giving reciprocity credit to NJ, CA, and FL.
CFP credits approved nationwide.

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