Live Webinars
Join Tom Duffy, CFP® for an interactive ethics program built around real-life client scenarios that show how CFP Board’s ethical standards apply in practice—not just in theory.…
The SEC’s modernized Marketing Rule significantly changed how registered investment advisers can promote their services, and regulators continue to scrutinize marketing practices…
As clients live longer and wealth remains invested well into retirement, financial advisors increasingly face complex situations involving diminished capacity, family conflict,…
SEC examinations can be one of the most stressful regulatory events for registered investment advisers, but firms that understand the process and maintain strong compliance…
This two-hour IAR CE-eligible ethics program, led by RIA lawyer Richard Chen, examines the ethical, regulatory, and supervisory risks arising from the use of artificial…