Navigating Common Deficiencies & SEC Priorities (2 IAR Ethics CE) - 10.03.2025
What You'll Learn
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-…
Tom Dickson
Financial Experts Network
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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