Live Webinars
This intensive course, presented by compliance lawyer Michelle Atlas-Quinn, is meticulously structured to provide investment adviser representatives with a deep dive into the…
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…
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…
Are you prepared for the SEC’s latest requirements on Anti-Money Laundering (AML) and Counter-Terrorism Financing (CFT)? This critical webinar, featuring compliance attorney…
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…