Description
This course is designed to help investment adviser representatives, supervisory principals, compliance professionals, and firm executives understand the duty of care of an investment adviser registered with the U.S. Securities and Exchange Commission (“SEC”) as it relates to providing investment advice and recommendations. The speaker will review the components of the duty of care and specific examles of what constitutes failure to exercise duty of care.
Course Objectives
- Participant will have awareness of the basic components of the duty of care owed by an investment adviser to a client.
- Participant will have general understanding of the requirements for an investment adviser to satisfy the duty of care when providing investment advice or making investment advice.
- Participant will have knowledge of what specific factors an investment adviser must consider under the duty of care when providing investment advice or making an investment recommendation.
- Participant will understand what constitutes an investment adviser’s consideration of reasonable alternatives while providing investment advice or making an investment recommendation.
- Participant will have an awareness of what an investment adviser is required to know about a client when providing investment advice or making an investment recommendation.
Who Should Attend?
This course is tailored for owners, senior executives, chief compliance officers, and compliance staff of investment adviser firms registered with the SEC or operating as exempt reporting advisers (ERAs). It is essential for professionals who seek to maintain a strong compliance culture, adapt to regulatory changes, and ensure their firms’ continued success in an evolving regulatory landscape.
Course Delivery
This course will be delivered remotely in a live format and thereafter will be available as a recording. Participants will have the opportunity to ask questions of our instructors.
IAR CE
This course has been approved by NASAA to provide one hour of IAR CE credit in the Ethics & Professional Responsibility category. In order to receive this credit, after viewing the entire presentation (live or recorded), a participant will need to sign up for the associated follow-up materials on our IAR CE platform, CE4Advisers.com. These follow-up materials include: providing a code as proof of attendance; completion of an evaluation of our course and instructor(s); and successfully passing (scoring 70% or higher) an assessment. Once these steps have been successfully, the participant will receive a certificate of completion and we will submit record of your completion to NASAA.
NASAA Disclaimer
NASAA does not endorse any particular provider of CE courses. The content of the course and any views expressed are our own and do not necessarily reflect the views of NASAA or any of its member jurisdictions.
Important Disclosure
Please carefully review the following disclosures and limitations of this course.
- Although the sponsor of this course, RIA Compliance Consultants, Inc. (“Sponsor”), is an affiliate of a law firm and Sponsor may have an individual on its staff that is also licensed as an attorney providing legal services in a completely separate capacity, Sponsor is not a law firm and does not provide legal services or legal advice. A consulting relationship with Sponsor does not provide the same protections as an attorney-client relationship.
- This course is offered for educational purposes only and should not be considered an engagement with the course instructor or Sponsor. This presentation should not be considered a comprehensive review or analysis of the topics discussed today. To these educational materials are not a substitute for consulting with an attorney or compliance consultant in a one-on-one context whereby all the facts of your situation can be considered in their entirety.
- Information provided during this course is provided “as is” without warranty of any kind, either express or implied, including, without limitation, warranties and merchantability, fitness for a particular purpose, or non-infringement. The course instructor and Sponsor assume no liability or responsibility for any errors or omissions in the content of the presentation.
- To the extent that this course description or the course itself includes reference to a pending enforcement action or a consent order, please understand that the course instructor and Sponsor have not not verified the accuracy of the securities regulator’s complaint, order or other statements, and the course instructor and Sponsor are not offering any opinion whether the allegations made by the securities regulator in such enforcement action are accurate.
- The course instructor and Sponsor are not be under an obligation to advise you of any regulatory developments or subsequent changes to educational material presented in this course.
- There is no guarantee or promise that concepts, opinions and/or best practices discussed in this course will be favorably received by a regulator or result in a certain outcome in adversarial proceeding.
- Communication with the course instructor is not protected from discovery by third-parties during litigation or regulatory proceedings. Please keep questions during this course in a hypothetical form.
- Reviewing the slides and/or attending this course does not create a consulting engagement with RIA Compliance Consultants, Inc.
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