Live Webinars
*CE Eligible: 2 CE credits are available to subscribers with these designations: CFP, CLU, ChFC and RICP. Special Note: This program is also approved for two CE Ethics credit…
*CE Eligible: 2 CE credits are available to subscribers with these designations: CFP, CLU, ChFC and RICP. Special Note: This program is also approved for two CE Ethics credit…
This intensive course, presented by compliance lawyer Michelle Atlas-Quinn, is meticulously structured to provide investment adviser representatives with a deep dive into the…
Handling customer complaints is one of the most critical—and often misunderstood—areas of regulatory compliance for investment adviser representatives. Whether it’s a client’s…
Handling customer complaints is one of the most critical—and often misunderstood—areas of regulatory compliance for investment adviser representatives. Whether it’s a client’s…