K’Nex: RIA Regulation for Breakfast! – September 27, 2016

If you are a state-regulated RIA or are thinking of starting your own RIA, this event is for you. The Professional Issues and NexGen Committees are sponsoring a panel discussion on the regulatory challenges and opportunities facing state Registered Investment Advisor in particular or anyone considering starting their own RIA. The panel will consist of regulators, consultants and practitioners discussing what it takes to start an RIA and what is involved in staying in compliance. Panelists include:

• Keith Loveland, JD, AIFA, CIDA, GFS - Loveland Cosulting, has over 30 years consulting on virtually all areas of broker-dealer and investment adviser legal and compliance matters, including services for dual registrants, hybrid firms, and financial planning practices
• Annette Minor - Principal Examiner for the Minnesota Department of Commerce who can speak to the examination issues that are most commonly encountered
• Brian Edstrom - Director of Securities at Minnesota Department of Commerce, who will discuss RIA registration and on-going registration issues

Edinborough Corporate Center
Suite 350