With the SEC and state regulators sharpening their focus on fiduciary obligations, disclosure accuracy, and cybersecurity in 2025, investment adviser representatives (IARs) must stay ahead of evolving expectations. This two-hour educational webinar—led by a compliance attorney Michelle Atlas-Quinn with real-world experience—dives deep into the most pressing compliance issues facing IARs this year.
Whether you're preparing for an SEC exam or just want to strengthen your firm’s compliance posture, this course delivers actionable insights and practical guidance for staying compliant, avoiding costly mistakes, and protecting your practice.
Topics Michelle will cover:
✅ SEC’s 2025 Examination Priorities – What’s on the radar and how to prepare
🧭 Fiduciary Obligations – What the duty of care and duty of loyalty really mean for you
🗂️ Disclosure Pitfalls – Avoiding errors in Form CRS, Form ADV, and marketing disclosures
🛡️ Custody Rule Compliance – Understanding SLOAs, indirect custody, and audit requirements
🔍 Best Practices for Internal Compliance Controls – Policies, monitoring, staff training, and documentation
📊 What to Expect in an SEC Exam – From record-keeping tips to crypto-related compliance trends
Why You Should Attend:
- Learn how to spot red flags that examiners are trained to catch
- Understand how to properly disclose fees, conflicts, and services
- Get updates on the Marketing Rule, Best Execution, and evolving custody interpretations
- Develop a proactive plan to reduce firm and personal liability
- Walk away with a compliance checklist and practical tools you can use immediately