In accordance with Rule 206(4)-7, investment advisors are required to perform an annual review of all compliance processes. And whether your review occurs every December or May, the process is critical to ensuring your firm remains in compliance, staving off regulatory action and the associated fines and penalties.
This webinar will cover:
- Your checklist for a successful annual review: Everything you need to know to ensure you don’t run into unexpected violations
- Why technology could be the answer for you: The ongoing benefits that come with compliance process automation
- When to bring in an expert: How to identify when you might need the outside help of an expert
- How we can help: Within our family of companies, we are able to offer both a technology-backed solution and an expert advisor to help guide your process.
Vice President, Consulting & Education
Marilyn joined NRS in 1994 as a Consultant and in 2015, Marilyn was named VP of NRS Consulting & Education departments. In this capacity, Marilyn manages the firm’s consulting services and education departments, overseeing the hiring, training and overall performance of the teams.
Marilyn received a Bachelor of Arts degree in English from Regis College, magna cum laude, and a Juris Doctor degree from New England School of Law. She is a member of the State Bar of Massachusetts, and is actively involved in volunteering for the Juvenile Diabetes Research Foundation.
RIA in a Box
Director of Product
As the Head of Product Management, Mike leads the Product team at RIA in a Box. In this role, Mike helps to define and execute on the RIA in a Box product roadmap, bringing to market the kind of forward-thinking solutions which the company has become known for. With 10+ years of product management experience developing innovative products for various use cases in financial technology, Mike remains relentlessly curious in the exploration of new product ideas and use cases.
Mike holds a BA from Yale University and MBA from University of North Carolina. In his free time, Mike enjoys travel, concerts, sports, and spending time with his family.
RIA in a Box
SVP, Compliance Operations and General Counsel
Christopher DiTata, Esq. is our Vice President and General Counsel. He holds a JD from NYU School of Law and a BA in Economics from the University of Pennsylvania.
Mr. DiTata is a member of the New York State Bar Association, the Financial Planning Association, and a licensed real estate broker. A former associate of Goodwin Procter, LLP and Babchik & Young, LLP, he brings a compliance and business law background to the company, with specialized knowledge in corporate governance and fund formation.