Risk exists in all aspects of RIA formation and operations. Managing that risk allows advisers to focus more fully on client service and growth. In this presentation, Mike MacPhail and Melissa Sherman will help you evaluate threats and implement strategies to mitigate key risks, such as:
- Poor Corporate Infrastructure
- Inadequate Compliance Programs
- Operational Deficiencies
- Mishandling Customer Complaints
- Insufficient Succession and Continuity Plans
This webinar is intended for RIA executives, IARs, Sub-Advisers, including TAMPs, and other professionals who work in the industry.