The Compliance Officer's Budget Playbook: How to Win the Fight Ahead
Tuesday, September 29 at 1 PM Central
Deregulation, hiring freezes, and "do more with less" mandates have put compliance leaders in an uncomfortable spot: everyone assumes there's slack in the program, and nobody agrees on where it is. This webinar gives you a working method for sorting every control, activity, and monitoring cadence into what to protect, what to right-size, what to streamline, and what to eliminate — so you can defend every dollar, every headcount, and every item on the calendar. We'll work through real examples across monitoring, training, corrective workflows, and third-party oversight, using specific tests for right-sizing without losing coverage.
Reporting Built for the Board: What Good Governance Looks Like
Thursday, September 24 at 1 PM Central
The people preparing board materials often default to volume: more data, more detail, more pages. But boards don't need more information. They need the right information, framed so directors can actually engage with it, ask sharp questions, and provide real oversight instead of a signature. This session is for anyone responsible for communicating with the board, and for the directors who depend on that communication to do their job well.
Business Continuity, Disaster Recovery, and Incident Response: What's the Difference Industry — and Why It Matters for RIAs
Tuesday, September 22 at 1 PM Central
What's the difference between a business continuity plan (BCP), a disaster recovery plan (DRP), and an incident response plan (IRP)? This webinar breaks down what each plan covers, where they connect, and the related regulatory expectations. This webinar is for RIA compliance officers and operations leads want to make sure their firms are positioned to weather disruptions and are in compliance with business continuity and incident response requirements.
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