Approved IAR CE Courses

This course will provide advisors with a review of estate planning techniques to execute before and after client deaths. Specifically, this course will cover certain strategies to discuss with clients, as well as provide resources for advisors to guide clients through their estate planning process. Additionally, it will go through various strategies such as gifting and retirement strategies, estate tax planning, and trust taxation considerations. Lastly, this presentation will cover various ways to shift capital gains to beneficiaries, and the process of estate and trust termination.

The goal of the course is to provide guidance to firms on the annual updating amendments forboth the ADV Part 1 and the Part 2A (including supplemental Part 2B). The course will coverbest practices for reviewing the annual filings to determine what changes may need to be made based on common deficiencies noted during Division examinations. Additionally, the topics will include the interrelations between different Items and different forms and what to take into consideration when amending these filings. The modules will conclude with the timing of the filings (within 90 days of the end of the fiscal year) and the requirement to also provide a summary of material changes and the offer of the full disclosure brochure within 120 days following the end of the fiscal year.

RIAs have the unique ability to potentially protect clients from financial abuse and exploitation. The Presenters describe how to identify the red flags of client abuse and financial exploitation, knowing when to report abuse to relevant authorities, and understanding powers of attorney.