Live Webinars
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,…
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…
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…