This course provides Investment Adviser Representatives with a foundational and practical understanding of private credit within the broader alternative investment landscape. It covers key regulatory thresholds, core fund structures (such as BDCs, interval funds, drawdown vehicles, and evergreen funds), and the primary risks and fees associated with private market investments. The program emphasizes fiduciary duties, ethical obligations, and compliance considerations when recommending or managing private credit strategies. Through online and in-person components, participants will also explore documentation best practices, conflict management, and suitability assessments to ensure client-centric outcomes. The course is designed to help advisers engage confidently and responsibly in the growing private credit space.
This course provides Investment Adviser Representatives with a foundational and practical understanding of private credit within the broader alternative investment landscape. It covers key regulatory thresholds, core fund structures (such as BDCs, interval funds, drawdown vehicles, and evergreen funds), and the primary risks and fees associated with private market investments. The program emphasizes fiduciary duties and compliance considerations when recommending or managing private credit strategies. Through online and in-person components, participants will also explore documentation best practices, conflict management, and suitability assessments to ensure client-centric outcomes. The course is designed to help advisers engage confidently and responsibly in the growing private credit space.
Navigating Private Credit: Ethics and Professional Responsibility
This course provides Investment Adviser Representatives with a foundational and practical understanding of private credit within the broader alternative investment landscape. The program emphasizes fiduciary duties, ethical obligations, and compliance considerations when recommending or managing private credit strategies. Through online and in-person components, participants will also explore documentation best practices, conflict management, and suitability assessments to ensure client-centric outcomes. The course is designed to help advisers engage confidently and responsibly in the growing private credit space.
This course equips financial professionals with a comprehensive understanding of senior living options, helping them guide clients through a complex and often emotional decision-making process. The session covers models of care, levels of service, fee structures, funding options, and key questions to ask when evaluating providers. Attendees will become better advocates and advisors for clients navigating senior living decisions.
In recognition of World Elder Abuse Awareness Day, this session will explore the growing impact of elder financial exploitation and the strategies needed to help prevent it — from early detection to coordinated responses across sectors.
Navigating the Complexities of Dual Registration in the Financial Industry
Join us for an enlightening webinar titled "Navigating the Complexities of Dual Registration in the Financial Industry." This comprehensive session is designed to unravel the intricacies of dual registration, an increasingly pertinent topic in the evolving landscape of financial regulation.In our introductory segment, we will set the stage by discussing the significance of dual registration in the financial sector, offering a succinct yet thorough overview that underscores its relevance in today's market. Moving forward, we delve into the definition, scope, and historical evolution of dual registration, including a detailed examination of the regulatory frameworks imposed by both the SEC and state authorities. Our expert speakers will navigate the labyrinth of regulatory compliance challenges, emphasizing key issues such as fiduciary duties, reporting requirements, and managing conflicts of interest.The webinar will also shed light on the operational hurdles associated with dual registration, discussing the technological infrastructure needed for compliance, data management intricacies, and the crucial role of staff training and management. In addition, we'll explore the legal and contractual aspects, highlighting the importance of proper documentation and strategies for dispute resolution in dual registration contexts.Risk management is another core topic, where we will outline effective strategies for identifying, assessing, and mitigating risks, complemented by regular compliance assessments. Engaging case studies will provide real-world insights into successful implementations of dual registration, along with challenges faced and lessons learned.We wrap up with a Q&A session, inviting participants to engage with our panel of experts. The webinar concludes by looking ahead at emerging trends, technological advancements, and anticipated regulatory changes, ensuring participants leave with a well-rounded understanding and essential takeaways for mastering the complexities of dual registration. This webinar is an unmissable opportunity for professionals navigating the nuanced world of financial compliance.
In this session, learners will review two Nerd's Eye View blog articles: Navigating The FTC's Ban On (Most) Non-Competes: The New World Of Partnerships And Non-Solicits and Why 'Deferred Sales Trusts' Can Be A Risky Way To Defer Taxes On A Business Sale. In the first article, authors Michael Kitces and Adam Van Deusen from Kitces.com explain the impacts and implications of the Federal Trade Commission ban on non-competes, detailing the scope of the ban, exceptions, and anticipated impact on financial advisory firms. They further provide alternative methods for advisors to protect their interests without enforceable non-compete agreements. In the second article, Ben Henry-Moreland discusses the benefits and downsides associated with installment sales for business owners. He then explains the Deferred Sales Trust (DST) strategy, highlighting the purported benefits, risks, and legal concerns associated with this business sale strategy.
This program will examine the SEC's Investment Adviser Marketing Rule (Rule 206(4)-1), including identifying and interpreting core provisions. The presenter will cover how to evaluate and implement compliance best practices in terms of real-world marketing scenarios. Attendees will learn to recognize common Marketing Rule violations, to understand how to avoid similar violations in their own firm's marketing strategies.
This one-hour compliance webinar and continuing education course for investment adviser representatives will explore the SEC's recent guidance and enforcement actions under the new Marketing Rule (SEC Rule 206(4)-1). The session will review the key provisions of the Marketing Rule, highlight the SEC's recent enforcement actions, and address common compliance challenges faced by investment advisers. We will also discuss best practices for implementing compliant marketing strategies, identifying potential pitfalls, and ensuring adherence to the SEC's evolving regulatory expectations. The course will review numerous SEC enforcement actions and guidance from the SEC's Division of Examination to help participants understand the rule's practical application and associated risks. The session will conclude with a Q&A section to address participant-specific concerns.