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Provider: Coulter Strategic Services
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Avoid Compliance and Regulatory Issues – Part 1

C28303
Coulter Strategic Services
Credits
1.0
Content Area
Ethics & Professional Responsibility
Topic(s)
Fiduciary Duty
Credits
1.0
Format
Live webinar/online presentation
Other Professional Designations
Complexity
Intermediate
Content Area
Ethics & Professional Responsibility
Course Date
Scheduled Date

Beyond Amended Reg S-P

C80940
Coulter Strategic Services
Credits
1.5
Content Area
Ethics & Professional Responsibility
Credits
1.5
Format
Live webinar/online presentation
Other Professional Designations
Complexity
Intermediate
Content Area
Ethics & Professional Responsibility
Course Date
Scheduled Date

Form ADV Part 1, 2 A & B - Understand your firm's Disclosure brochures.

C27184
Coulter Strategic Services
Credits
1.5
Content Area
Ethics & Professional Responsibility
Description

Form ADV is a critical regulatory filing required by the Securities and Exchange Commission (SEC) for Investment Advisory firms. It serves as a comprehensive disclosure document that provides essential information about the firm's operations, services, and fees to clients, prospects and regulatory authorities. Understand the common pitfalls and challenges associated with the regulatory filings, allowing you to proactively address potential issues, mitigate regulatory risks, and minimize the likelihood of enforcement actions. Learn best practices for organizing, collecting, and updating the required information efficiently.

Topic(s)
Forms (ADV/CRS/U4)
Credits
1.5
Format
Live webinar/online presentation
Other Professional Designations
Complexity
Intermediate
Content Area
Ethics & Professional Responsibility
Course Date
On Demand

Senior and Vulnerable Adult Protections: Senior Safe Act Training Requirement

C82203
Coulter Strategic Services
Credits
1.0
Content Area
Ethics & Professional Responsibility
Description

This one-hour on-demand course is designed for investment adviser representatives and other advisory firm personnel who may interact with senior or vulnerable adult clients. The course addresses the Senior Safe Act, common indicators of diminished capacity and financial exploitation, the role of trusted contacts, escalation and documentation practices, privacy considerations, and reporting of suspected exploitation to appropriate agencies. The course also discusses how these issues relate to an adviser’s fiduciary duty, ethical obligations, reasonable care, and professional responsibility when serving senior and vulnerable adult investors. Participants will learn practical steps to identify red flags, escalate concerns internally, protect client privacy, and support firm procedures intended to detect and address suspected exploitation.

Topic(s)
Client Relationships
Continuing Education
Ethics
Fiduciary Duty
Financial Crime
Seniors, elders, or vulnerable adults
Credits
1.0
Format
Video/recorded webinar
Other Professional Designations
None
Complexity
Intermediate
Content Area
Ethics & Professional Responsibility
Course Date
On Demand