Agenda
- Protecting Client Information/Privacy
- NIST Password Guidelines and MFA
- Cybersecurity
- Phishing
- Identity Theft/Red Flags
- Artificial Intelligence (AI)
- Customer Trade and Distribution
- Insider Trading
- Prohibited Outside Investments
- Anti Money Laundering
- Protection of Senior Investors
- Complaints
- Political Contributions
- Custody and Proxy Voting
- Advertising and Sales Material
- SEC Marketing Rule
- Testimonials, Endorsements, Google Reviews
- Promotor/Solicitor Rules
- Social Media
- Texting, TCPA, Can-Spam
- Proper Use of E-Mail
- Office Correspondence Requirements
- Onboarding & Offboarding
- Compliance Manual and Code of Ethics
- Outside Business Activity (OBA)
- Private Securities Transactions (PST)
- Designations
- Personal Securities Reporting
- Form U4 and ADV Part 2B
- Form CRS
- B/D vs. RIA vs. Insurance- Disclosure
- Cash and Non-Cash/Gifts and Entertainment
- Sales Contests
- Software & Service Provider Due Diligence
- Suitability
- Custodian Cash Sweep Options
- Fee Disclosure
- DOL and IPS Forms
- Unallocated Accounts
- Client Files
- Business Continuity and Succession Planning
- State and Licensing Registration
- IAR Continuing Education
- Regulatory Updates