- Wednesday Dec 9, 2020
- Start Time: 12:00PM
- End Time: 1:00PM
FPA Austin Webinar
Wednesday, September 30, 2020
12:00 – 1:00 pm
Topic: Compliance for RIAs in 2020 and Beyond
Speaker: Cathy Vasilev, COO/Sr Vice President, Red Oak Compliance
Presentation will cover an overview of the new regulations for 2020 and some of the key regulatory focus topics. You will learn about the importance of cybersecurity protocols and how to achieve them, the importance of managing cash and how to calculate fees appropriately, the importance of monitoring outside brokerage and personal securities transactions as well as what to do when you receive a customer complaint.
Understand Reg BI / Form CRS requirements
Fee Calculations and their importance
Cash Management- How to perform accurately
Outside Brokerage Accounts and the importance of reviewing them
Personal Trading- What should you look at?
Complaints- How to handle them
Cathy brings more than 25 years of compliance and supervisory expertise in independent broker-dealers, wire-house broker/dealers, and RIAs. Cathy served as the Assistant Vice President of Supervisory Systems and Controls at NFP Securities, an independent broker/dealer, and RIA. She was an Associate Manager for Prudential where she supervised 75 representatives, performing all compliance functions for the branch. She began her career as a stockbroker for Salomon Smith Barney and later moved to compliance and operations. Cathy has a Masters of Business Management degree. She is a member of the Association of Compliance Professionals; a member of National Society of Compliance Professionals; a member of Compliance and AML Professionals; and has FINRA Series 7, 24, 26, 63 and Life and Health licenses.
Continuing Education: 1 CE pending approval