Come April 1, 2021, the revised guidelines for Investment Advisers are applicable.
As I talk to investment advisers, many are yet to align themselves to these new requirements. If you are too, then you are probably asking –
- How should the agreement requirements be taken care of?
- How to do the client level segregation?
- Am I ready for the compliance audit?
If these questions are on the top of your mind or if you are unsure of whether what you are doing is the right way, then here is a quick way in which you can get started on the compliance journey.
WEBINAR on “The Top 5 Compliance Requirements for Investment Advisers”.
I am conducting this webinar on Saturday, April 10, 2021 from 10 am to 12noon.
You can find out answers to the above questions and much more.
I will take you through the key ideas and actions which you can use to make sure that your advisory practice does not become non-compliant.
There is a Q&A session too.
The webinar is free of cost.
Setting up business in the new regime is already a challenge. On top of that, there is a whole compliance list that you need to take care of.
Don’t let that bog you down. Once you understand the key requirements, compliance should happen easily.
In fact in my webinar, I will also share with you about a compliance package that helps you deal with the most crucial compliance requirements.
If you have just started as an Investment Adviser, I believe you will find a lot of value in the session.
So, see you at the webinar.