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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…
CE Eligible: Two credits for subscribers who need IAR, CFP, PACE and CPE credits. This fulfills the CFP requirement for Ethics.In this webinar, Tom Duffy, CFP® led listeners in…
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