February 8 Webinar

Cash Solicitation Rule for Investment Advisers – OCIE Risk Alert and Traps for the Unwary

Don’t miss this Webinar on Friday, February 8th from 2:00pm–3:00pm EST

NSCP and Hardin Compliance Consulting will host a lively discussion to include referral arrangements for investment advisers and traps for the unwary.  Join Jennifer Relien, General Counsel & Chief Compliance Officer for Prosperity Capital Advisors and Valor Capital Management, and Jaqueline Hummel, Partner and Managing Director, Hardin Compliance Consulting, for a discussion on the SEC’s recent “Risk Alert on Cash Solicitation Arrangements.” Jennifer and Jacqueline will share practical tips on how to set up, test and monitor on-going referral relationships.