Establishing your own practice can be lucrative and extremely rewarding. If you’re serious about taking the leap, protect what you’re building by doing things right the first time.
Decisions you make now can either pave the way for a smooth, successful operation or create vulnerabilities that may not surface for years, making it difficult to unravel errors and result in deficiencies, fines and reputational risk.
That’s why STP Investment Services hosted a webinar focused on helping advisors like you navigate the compliance complexities of going independent.
Access the On-Demand Webinar Now — Fill out the form to watch.
Ready to tackle T+1 with ease?
Access Our On-Demand Webinar
Keynote Speakers
Lori Weston
Head of Compliance at STP
Felipe Luna
CEO at Praesto Works
WEBINAR DETAILS
Ready to Launch Your Own RIA? Avoid These Common Mistakes That Could Derail You
What You’ll Learn:
- Navigate pre-registration compliance with confidence
- Design a secure, compliant tech stack for your RIA
- Promote your firm online without triggering regulatory scrutiny
- Choose vendors that align with your compliance obligations
- Implement cybersecurity practices for the safety of your firm and your clients
Make Sure Your Compliance Foundation is Solid from the Start.
Download our free on-demand webinar