Stark & Stark’s Upcoming RIA Compliance and Legal Strategies Conference

Stark and Stark

WAYNE, PA — Stark & Stark this week opened registration for its upcoming RIA Compliance and Legal Strategies Conference. The event will take place on June 1, 2023, from 10:00 a.m. to 3:30 p.m. at The Radnor Hotel in Wayne, PA (approximately 20 minutes from PHL), promising an enriching educational experience for registered investment advisers and the potential for attendees to earn 5 CE credits. The educational seminars will be followed by networking and cocktails from 3:30 p.m. to 5:00 p.m.

The RIA Compliance and Legal Strategies Conference aims to deliver cutting-edge knowledge and best practices for navigating today’s regulatory and compliance-related issues. This one-of-a-kind gathering will be a goldmine of information for registered investment advisers, equipping them with the tools they need to help their clients’ portfolios while staying compliant with ever-changing regulations.

Conference attendees will have the opportunity to participate in engaging discussions, seminars, and networking that address the most pressing issues and trends affecting registered investment advisers today. Some of the topics covered will include:

  • How to successfully navigate a regulatory exam
  • The importance of full disclosure
  • Navigating the new Marketing Rule
  • Implementing an effective client texting policy
  • The pending U.S. Department of Labor (DOL) retrospective
  • Defending an arbitration/litigation claim
  • Employment/restrictive covenant issues
  • Industry M&A discussion (doing it right)
  • Crypto and ESG

The event will feature a stellar lineup of speakers from the Stark & Stark firm, who have a wealth of experience in the world of investment advisory services.

Stephen Galletto, Esq., speaker and Shareholder at Stark & Stark, says about the event, “Stark & Stark is committed to fostering the growth and development of the investment advisory community, and the RIA Compliance and Legal Strategies Conference serves as a testament to that mission.”

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To learn more about the event and to register, visit

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