Live Webinars
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…
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…
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…