New WSP/CoE Section Update – IAR CE

May 19, 2022

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RIA Compliance Consultants has released a new WSP/CoE section update, IAR CE.  This is a sample investment adviser compliance manual section related to the investment adviser representative continuing education (“IAR CE”) requirements of certain state securities regulators.

To the extent that a state or SEC registered investment adviser firm has an investment adviser representative licensed in a state that has adopted NASAA’s investment adviser representative continuing education (“IAR CE”) rule, the investment adviser firm will need to track whether the applicable IARs are meeting such requirements each year. This is an example of a procedure for tracking such requirements.

Currently Mississippi, Maryland and Vermont have currently effective IAR CE rules. Kentucky, Michigan and Wisconsin are set to join them from January 1, 2023.

This sample section update is included with Bronze, Silver, Gold, Platinum and Titanium Annual Compliance Program Packages. It can be purchased a la carte for $250 through the following link: WSP/CoE Section Update – IAR CE .

RIA Compliance Consultants has also updated RIA Express – Compliance Manual Drafter to include a new supervisory policy and procedure which addresses the IAR CE requirements adopted by many state securities regulator.  For $695, an investment adviser can utilize RIA Express – Compliance Manual Drafter to draft a compliance manual and code ethics which includes a IAR CE section by making a purchase through the following link:  RIA Express – Compliance Manual Drafter .

Compliance Manual -Code of Ethics Written Supervisory Procedures

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General Disclosure

The information contained in this blog post is general in nature intended for educational purposes only and is not intended to be a comprehensive analysis of this topic. It is not intended to constitute compliance consulting advice or apply to any particular investment adviser firm’s specific situation. Please consult the applicable securities regulator’s rules and published guidance for more details about the topics referenced above.  For more information about the limitations of this blog post and information on our website, please see our Disclosures webpage.

Posted by RCC
Labels: Code of Ethics, Investment Adviser Rep Continuing Education, Kentucky Investment Adviser, Maryland Investment Adviser, Michigan Investment Adviser, Mississippi Investment Advisor, Vermont Investment Advisor, Wisconsin Investment Advisor, Written Policies and Procedures