Category Archives: Investment Adviser Rep Continuing Education
 

NASAA Seeks Input on Investment Adviser Representative Continuing Education Program

September 05, 2020

The North American Securities Administrators Association, Inc. (“NASAA”) is currently seeking input from NASAA members (i.e., state and provincial securities regulators) and other industry professionals, including registered investment advisers and their representatives regarding potential content for classes in its proposed investment adviser representative continuing education program. NASAA intends to utilize survey responses for design and implementation of the proposed IAR continuing education program.

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New NASAA Report on Diminished Capacity Among Investment Adviser Representatives

August 08, 2020

The North American Securities Administrators Association, Inc. (“NASAA”) recently released a white paper detailing the results of a study conducted by its Senior Issues/Diminished Capacity Committee. While many investment adviser firms are increasingly aware of issues related to diminished capacity in clients, NASAA has found that not all registered investment advisers are prepared to identify and address diminished capacity among investment adviser representatives. As part of the study, NASAA surveyed a number of financial institutions and industry professionals including Bryan Hill, President of RIA Compliance Consultants, Inc.

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NASAA Proposed Investment Adviser Representative Continuing Education Rule

May 11, 2020

Earlier this year, the North American Securities Administrators Association, Inc. (“NASAA”) proposed a new model rule that would require investment adviser representatives (“IARs”) to complete a specified amount of continuing education (“CE”) credits each year. The proposed model rule would apply to every IAR registered in a state that adopts the model rule, including IARs associated with state registered investment adviser firms. It would also cover IARs for federal covered advisers (i.e. SEC-registered advisers) to the extent that those IARs are registered in a given state.

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Investment Adviser Compliance Training for 2020

February 20, 2020

On Thursday, February 20, 2020, RIA Compliance Consultants will is hosting an investment adviser compliance training webinar, “Common Questions for RCC Consultants.”  During this webinar our Senior Compliance Consultants will share the most common compliance questions they receive from investment adviser clients during the past calendar quarter. Our consultants will then discuss how they have addressed these questions and will offer best investment adviser compliance practices, tips and tricks.  Click here to purchase a seat for this compliance webinar.

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