Archive Of The Category ‘Continuing Education‘

SEC Risk Alert: Wrap Fee Programs

SEC Risk Alert: Wrap Fee Programs

01 November 2021

Main Contributor: Katie Mogan, IACCP® Vice President, Senior Compliance Consultant Introduction On July 21, 2021, the SEC released a Risk Alert focusing on examinations of wrap sponsors and wrap advisors. After examining over 100 advisors associated with wrap programs, the SEC found compliance concerns and identified areas where advisors needed to make improvements. The focusRead More »

Continuing Education Requirements For Investment Advisor Representatives

Continuing Education Requirements For Investment Advisor Representatives

19 October 2021

Main Contributor: Zachary Fenno, CSCP, Compliance Manager   In November 2020 the North American Securities Administrators Association (“NASAA”) adopted a Model Rule, setting guideline requirements for investment advisor representatives (“IARs”) registered with investment advisory firms to complete continuing education requirements in order to maintain licenses in jurisdictions that adopt the rule. This will apply to bothRead More »