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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…

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…

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…

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…