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Webinar - Risk, Mitigation and Insurance Issues for Investment Advisers

Thursday, May 4, 2017
2:00 – 3:15 p.m. (ET)

Investment advisers face constant challenges to stay current and comply with new and changing regulations in an evolving market place. This webinar will help advisers to better understand these regulations and how they may reduce or mitigate certain risks with insurance.

Topics Covered

This webinar will address:

  • Risk identification
  • Risk mitigation
  • Available insurance products for advisers
  • ERISA bonding requirements
  • Cybersecurity insurance

Presenters

  • Mitch Avnet, founder and Managing Partner, Compliance Risk Concepts, LLC
  • Lilian A. Morvay, JD, Underwriting & Risk Management Consultant––Professional Liability
  • Amir Tadjedin, Partner, Markun Zusman Freniere and Compton, LLP
  • Paul D. Glenn, Special Counsel, Investment Adviser Association, Moderator

Webinar Audio Platform

Audio for this webinar will be broadcast through the internet via your computer speakers. Please visit the IAA's Webinar FAQ page or email iaaevents@investmentadviser.org if you have questions.

Registration

Click the "Register" button on this page.

Registration for the live webinar closes on Wednesday, May 3, at noon ET.

IAA Members and IAA Associate Members: The live webinar and a link to the recording are complimentary. (Registrations made on or before May 3 at noon ET are automatically registered for both the live webinar and the recording.)

Non-Members: The live webinar is $250 (per computer logon). The recorded webinar is $250. The cost for both is $475.

Questions?

For questions regarding this webinar, call (202) 293-4222 or email iaaevents@investmentadviser.org.

About the Presenters

Mitch Avnet is the founder and Managing Partner of Compliance Risk Concepts, LLC. Mr. Avnet is responsible for business development, relationship management and overseeing the execution of all client driven/business focused Compliance and Ethics Risk Management strategic engagements. Download to see image
Lilian A. Morvay, JD has over 25 years of legal, insurance and risk management experience in the professional liability arena, with a specific focus on Investment Adviser and Broker Dealer Errors & Omissions. As an attorney with extensive experience as a litigator, claims director and underwriter, Ms. Morvay has developed a deep understanding of both the insurance and the investment industries, which she has parlayed into the development of IBDC. Download to see image
Amir Tadjedin is a partner in the Portland office of Markun Zusman Freniere and Compton, LLP. His practice focuses on litigating and arbitrating commercial disputes, with an emphasis on securities and investment related matters. Mr. Tadjedin also maintains an active regulatory practice representing firms and representatives in investigations initiated by the SEC, FINRA, and state regulatory agencies. Download to see image
Paul D. Glenn is IAA Special Counsel and started at the IAA in 2006. Paul has worked at the US Securities and Exchange Commission as a trial attorney and special counsel in the Division of Enforcement and the Office of General Counsel, respectively. Mr. Glenn also has experience working for the OCC (OTS), and two financial institutions. Download to see image

Paid Registration Cancellation or Substitution

For paid registrations: Cancellations and substitutions must be received in writing no later than noon (ET) Wednesday, May 3, 2017. There are no refunds for cancellations after this date. Email your requests to megan.olson@investmentadviser.org.

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