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Building a Compliance CalendarMarketing Title: Basic Blocking and Tackling: The RIA Playbook for Daily, Monthly, Quarterly, and Annual Compliance Tasks

C27251
Stark and Stark
Credits
1.0
Content Area
Products and Practice
Description

The Presenters review the ins and outs of advisers' compliance calendar - including email/social media review, best execution review, gifts and gratuities logging, and other compliance tasks.

Topic(s)
Continuing Education
Professional Conduct
Regulations
Credits
1.0
Format
In-person seminar/event
Other Professional Designations
CFP
Complexity
Overview/Beginner
Content Area
Products and Practice
Course Date
Scheduled Date

Compliance Checklist For Success: Third Party Vendor Due Diligence

C27791
Stark and Stark
Credits
1.0
Content Area
Ethics & Professional Responsibility
Topic(s)
Professional Conduct
Regulations
Third-party platforms
Credits
1.0
Format
In-person seminar/event
Other Professional Designations
CFP
Complexity
Overview/Beginner
Content Area
Ethics & Professional Responsibility
Course Date
Scheduled Date

Creative Marketing Rule ComplianceMarketing Title: From Compliance to Creativity: Balancing Marketing Rule Compliance and Innovative Marketing

C27249
Stark and Stark
Credits
1.0
Content Area
Products and Practice
Description

The Presenters will discuss SEC Marketing Rule examination sweeps, and return to the basics of the SEC's marketing rule surrounding general advertisements, newsletters, testimonials and endorsements, third party ratings and rankings, and performance advertising.

Topic(s)
Advertising/Marketing Rule
Disclosures
Ethics
Credits
1.0
Format
In-person seminar/event
Other Professional Designations
CFP
Complexity
Intermediate
Content Area
Products and Practice
Course Date
Scheduled Date

Cybersecurity and Client Data ProtectionMarketing Title: Defend, Detect, Prevent: Being Proactive About Cybersecurity, Client Data Protection, and Fraud Prevention

C27250
Stark and Stark
Credits
1.0
Content Area
Products and Practice
Description

The Presenters review recent trends in cybersecurity, Regulation S-P and client data protection, and protecting Firms and clients from wire fraud.

Topic(s)
Client Relationships
Cybersecurity
Financial Crime
Credits
1.0
Format
In-person seminar/event
Other Professional Designations
CFP
Complexity
Overview/Beginner
Content Area
Products and Practice
Course Date
Scheduled Date

Navigating M&A for RIAs: Strategies for Growth and Success

C27789
Stark and Stark
Credits
1.0
Content Area
Products and Practice
Topic(s)
Business Continuity Plans/Succession Plans
General advisory
Investment Advisory Services
Credits
1.0
Format
In-person seminar/event
Other Professional Designations
CFP
Complexity
Advanced
Content Area
Products and Practice
Course Date
Scheduled Date

Powers of Attorney, Executorship, and RIA Custody Implications: Real Cases and Lessons for RIAs

C27793
Stark and Stark
Credits
1.0
Content Area
Ethics & Professional Responsibility
Topic(s)
Client Relationships
Custody
Generational Planning
Credits
1.0
Format
In-person seminar/event
Other Professional Designations
CFP
Complexity
Intermediate
Content Area
Ethics & Professional Responsibility
Course Date
Scheduled Date

Preventing Financial Exploitation of ClientsMarketing Title: Adviser Armor: Detecting and Preventing Financial Exploitation and Mastering Powers of Attorney

C27253
Stark and Stark
Credits
1.0
Content Area
Products and Practice
Description

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.

Topic(s)
Ethics
Financial Crime
Seniors, elders, or vulnerable adults
Credits
1.0
Format
In-person seminar/event
Other Professional Designations
CFP
Complexity
Intermediate
Content Area
Products and Practice
Course Date
Scheduled Date

Tech Trends: Bitcoin, AI, & Electronic Communication

C27790
Stark and Stark
Credits
1.0
Content Area
Products and Practice
Topic(s)
Cybersecurity
Digital Assets
Regulations
Credits
1.0
Format
In-person seminar/event
Other Professional Designations
CFP
Complexity
Intermediate
Content Area
Products and Practice
Course Date
Scheduled Date

The ADV Trap: Common Mistakes That Could Cost You - And How to Avoid Them

C27792
Stark and Stark
Credits
1.0
Content Area
Products and Practice
Topic(s)
Disclosures
Forms (ADV/CRS/U4)
Regulations
Credits
1.0
Format
In-person seminar/event
Other Professional Designations
CFP
Complexity
Overview/Beginner
Content Area
Products and Practice
Course Date
Scheduled Date

Updated 2024 SEC Exam PrioritiesMarketing Title: Examination Evolution: A Fresh Look at SEC Exam Trends and Insights

C27252
Stark and Stark
Credits
1.0
Content Area
Products and Practice
Description

The Presenters provide valuable insight on the SEC's recent exam priorities, from using sub-advisers to texting with clients.

Topic(s)
Audits
Fiduciary Duty
Regulations
Credits
1.0
Format
In-person seminar/event
Other Professional Designations
CFP
Complexity
Overview/Beginner
Content Area
Products and Practice
Course Date
Scheduled Date