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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…
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.…
With the SEC and state regulators sharpening their focus on fiduciary obligations, disclosure accuracy, and cybersecurity in 2025, investment adviser representatives (IARs) must…
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…
The SEC’s Marketing Rule under the Investment Advisers Act has transformed how Investment Adviser Reps (IARs)can advertise their services and use testimonials, performance data,…
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