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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…
This intensive course, presented by compliance lawyer Michelle Atlas-Quinn, is meticulously structured to provide investment adviser representatives with a deep dive into the…
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…
With the SEC and state regulators sharpening their focus on fiduciary obligations, disclosure accuracy, and cybersecurity in 2025, investment adviser representatives (IARs) must…