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.