Approved IAR CE Courses

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.

Making the right decision regarding employees, colleagues, and coworkers can be a balancing act. Some people have a hard time discerning the difference between appropriate (legal) and inappropriate (illegal) behavior in the workplace. Federal and state laws exist to protect victims of harassment, outlining what practices are prohibited and imposing penalties for violation of those laws. This course covers those federal laws, as well as state-specific requirements for the states of California, Connecticut, Illinois, and New York. We are going to look at the laws focused on prevention of harassment and discrimination in the workplace. Guidance will be provided through examples to assist you on staying on the right side of the line drawn between right and wrong.

Principles of Wealth Management examines the financial planning discipline, including Its need, as evidenced by the U.S. poverty rate, the U.S. savings rate, the lack of financial retirement readiness and the ever-increasing cost of higher education. The course details the principal steps in developing a financial plan, the critical issues in managing and protecting wealth, the products and concepts available to implement wealth management objectives and their tax treatment.

The course will provide an overview of private capital investments, focusing on private equity and private credit funds. After introducing some of the exemptions issuers of private securities rely on, students will learn about the strategies used by private equity and private credit fund managers. The last section of the course will explain return measurements used by private equity managers and the strengths and weaknesses of each measurement.

This quiz will include a review of the following articles: Is Private Debt Worth Considering As An (Alternative) Asset Class In Client Portfolios?, Creating A (Just In Case) Game Plan For Clients Facing Layoffs and How Sequence-Of-Inflation Risk Impacts Retirees Beyond Just Sequences Of Returns