May 21 2019 - RIA Group Meeting
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When: Tuesday, May 21, 2019
5:45 PM - 8:00 PM
Where: MassMutual Tri State
186 Wood Avenue South
Lower level of the building - Please Follow signs.
Iselin, New Jersey  08830
United States

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Date: Tuesday, May 21, 2019

Topic: Compliance for the Small RIA and Surviving a State Exam

Time: 5:45 PM - 8:00 PM


Sponsored By: Capital Group/ American Funds - Alex Diorio - (516) 242-6376 -

                           Lincoln Financial Distributors - John Thyberg, CFS® - (484) 735-6241 -



MassMutual Tri State
186 Wood Avenue South
Lower level of the building - Please Follow signs.
Iselin, NJ 08830


This program will enable the participants to understand the important element of developing an effective compliance program that is integrated with operations. This program will cover compliance for RIAs and include topics such as creating an effective compliance calendar, ways to automate the compliance program, books and records requirements, and best practices for documenting compliance. Stephen Bouchard, the Director of Examinations for the NJ Bureau of Securities will discuss how his office examines state-regulated RIAs in NJ. Attendees will walk away with significant additional knowledge about best practices for RIA compliance.




FPANJ Member - $15

Non-Member - $25

Cancellation Policy: ALL cancellations must be made 72 hours prior to the event. Any cancellations made within the 72 hour period of the event unfortunately can NOT be refunded.


Credit Information:

CFP Credits:
Accepted for 2 CFP® CEs by the CFP Board of Standards.

Accounting Credits:
This meeting also qualifies for 2 Accounting CPE CE.

Light dinner & refreshments will be available.




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