Approved IAR CE Courses

Do you want to know the areas that state examiners will focus on in their 2025 exams and how to be compliant? This course will discuss the Division's 2025 examination priorities, provide an in-depth analysis of common deficiencies and suggest ways to avoid them. This year's priorities are a non-exhaustive list of compliance matters based on commonly identified and/or high risk deficiencies revealed during examinations that the Staff plans to focus on. In the course, we will talk about core books and records requirements including written client suitability information, advisory contracts, fee invoices, firm financial statements and the IARCE requirements.

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.