REGULATORY COMPLIANCE AND GOVERNANCE
• NAVIGATING SEC AND FINRA REGULATIONS FOR FINANCIAL ADVISORS
• HOW TO AVOID INSIDER TRADING VIOLATIONS
• UNDERSTANDING THE DODD-FRANK ACT: KEY RULES FOR ADVISORS
• COMPLYING WITH THE INVESTMENT ADVISERS ACT OF 1940
• WHAT TO KNOW ABOUT ANTI-MONEY LAUNDERING (AML) REQUIREMENTS
• HOW TO MANAGE KNOW YOUR CUSTOMER (KYC) OBLIGATIONS
• FIDUCIARY DUTY VS. SUITABILITY STANDARD: LEGAL IMPLICATIONS
• LEGAL REQUIREMENTS FOR REPORTING SUSPICIOUS TRANSACTIONS
• HOW TO PREPARE FOR REGULATORY AUDITS AND INVESTIGATIONS
• AVOIDING CONFLICTS OF INTEREST IN INVESTMENT RECOMMENDATIONS
• WHAT TO DO IF YOU RECEIVE A FINRA COMPLAINT
• COMPLYING WITH STATE BLUE SKY LAWS IN INVESTMENT OFFERINGS
• HOW TO PROPERLY DISCLOSE FEES AND COMMISSIONS TO CLIENTS
• UNDERSTANDING FATCA REGULATIONS FOR CROSS-BORDER CLIENTS
• HANDLING MARKET MANIPULATION ALLEGATIONS SAFELY
• WHAT TO KNOW ABOUT CUSTOMER COMPLAINT REPORTING OBLIGATIONS
• HOW TO MANAGE DUAL REGISTRATION AS AN ADVISOR AND BROKER
• COMPLYING WITH RECORDKEEPING REQUIREMENTS FOR ADVISORS
• LEGAL GUIDELINES FOR OFFERING INVESTMENT PRODUCTS ONLINE
• HOW TO AVOID REGULATORY FINES FOR MARKETING MISCONDUCT
CLIENT MANAGEMENT AND DISPUTE RESOLUTION
• HOW TO HANDLE CLIENT COMPLAINTS ABOUT INVESTMENT LOSSES
• LEGAL STEPS TO TAKE IF A CLIENT FILES A LAWSUIT
• NAVIGATING FINRA ARBITRATION FOR CLIENT DISPUTES
• HOW TO DRAFT CLEAR AND COMPLIANT CLIENT AGREEMENTS
• LEGAL PROTECTIONS WHEN OFFERING FINANCIAL PLANNING SERVICES
• HOW TO HANDLE DISPUTES OVER INVESTMENT PERFORMANCE
• WHAT TO DO IF A CLIENT ACCUSES YOU OF MISREPRESENTATION
• COMPLYING WITH CLIENT DATA PRIVACY REGULATIONS (GDPR/CCPA)
• LEGAL REQUIREMENTS FOR MANAGING POWER OF ATTORNEY ACCOUNTS
• HOW TO HANDLE DISPUTES OVER FEE STRUCTURES SAFELY
• NAVIGATING ELDER FINANCIAL ABUSE CLAIMS LEGALLY
• WHAT TO KNOW ABOUT JOINT ACCOUNTS AND LIABILITY ISSUES
• LEGAL PROTECTIONS WHEN DEALING WITH DIFFICULT CLIENTS
• HOW TO MANAGE BENEFICIARY DESIGNATION DISPUTES
• HANDLING CLIENT CONFLICTS OVER PORTFOLIO ALLOCATION
• HOW TO HANDLE CLIENT WITHDRAWALS DURING MARKET VOLATILITY
• LEGAL GUIDELINES FOR ESTATE PLANNING ADVICE AND TRUST ACCOUNTS
• WHAT TO DO IF A CLIENT PASSES AWAY: LEGAL OBLIGATIONS
• HOW TO PREVENT MISCOMMUNICATION IN CLIENT-ADVISOR RELATIONSHIPS
• LEGAL PROTECTIONS FOR TERMINATING CLIENT RELATIONSHIPS SAFELY
INVESTMENT PRODUCTS, RISK MANAGEMENT, AND COMPLIANCE
• WHAT TO KNOW ABOUT OFFERING ALTERNATIVE INVESTMENTS
• HOW TO AVOID LEGAL RISKS WHEN RECOMMENDING ANNUITIES
• LEGAL GUIDELINES FOR CRYPTOCURRENCY INVESTMENT ADVICE
• NAVIGATING MARGIN ACCOUNTS AND LEGAL LIABILITY
• HOW TO DISCLOSE RISKS TO CLIENTS EFFECTIVELY
• WHAT TO DO IF A CLIENT SUFFERS SIGNIFICANT LOSSES
• COMPLYING WITH ESG (ENVIRONMENTAL, SOCIAL, GOVERNANCE) STANDARDS
• HOW TO STRUCTURE MANAGED ACCOUNTS LEGALLY
• LEGAL PROTECTIONS WHEN OFFERING ROBO-ADVISOR SERVICES
• HOW TO MANAGE HIGH-RISK INVESTMENTS SAFELY
• LEGAL GUIDELINES FOR SELLING STRUCTURED PRODUCTS
• WHAT TO KNOW ABOUT TAX-ADVANTAGED INVESTMENTS
• HOW TO HANDLE INVESTMENT SCAMS AND PONZI SCHEME ALLEGATIONS
• NAVIGATING PRIVATE EQUITY INVESTMENTS SAFELY
• HOW TO MANAGE RISK WHEN RECOMMENDING LEVERAGED ETFS
• LEGAL OBLIGATIONS WHEN SELLING FIXED-INCOME SECURITIES
• WHAT TO DO IF A CLIENT DEMANDS HIGH-RISK TRADES
• HOW TO AVOID LEGAL TROUBLE WHEN OFFERING IPO ACCESS
• MANAGING COMPLIANCE FOR OPTIONS AND DERIVATIVES TRADING
• LEGAL GUIDELINES FOR OFFERING 401(K) ROLLOVERS AND IRA TRANSFERS
MARKETING, SOCIAL MEDIA, AND ADVERTISING COMPLIANCE
• HOW TO COMPLY WITH FINRA’S ADVERTISING RULES
• LEGAL GUIDELINES FOR SOCIAL MEDIA USE IN FINANCIAL SERVICES
• WHAT TO KNOW ABOUT OFFERING WEBINARS AND ONLINE COURSES
• HOW TO AVOID FALSE ADVERTISING CLAIMS IN FINANCIAL MARKETING
• COMPLYING WITH LEGAL REQUIREMENTS FOR TESTIMONIALS AND REVIEWS
• LEGAL PROTECTIONS WHEN USING INFLUENCERS IN FINANCIAL MARKETING
• HOW TO SAFELY PROMOTE INVESTMENT PRODUCTS ON SOCIAL MEDIA
• WHAT TO INCLUDE IN EMAIL MARKETING CAMPAIGNS TO STAY LEGAL
• HOW TO MANAGE COMPLIANCE FOR FINANCIAL BLOGS AND CONTENT
• AVOIDING MISLEADING CLAIMS IN INVESTMENT PRODUCT MARKETING
• WHAT TO KNOW ABOUT DISCLAIMERS IN FINANCIAL ADVERTISING
• HANDLING REGULATORY SCRUTINY OVER WEBSITE CONTENT
• LEGAL GUIDELINES FOR MARKETING FINANCIAL PLANNING SERVICES
• HOW TO SAFELY PROMOTE NEW INVESTMENT PRODUCTS
• COMPLYING WITH RULES FOR CROSS-BORDER ADVERTISING
• WHAT TO DO IF A MARKETING CAMPAIGN TRIGGERS A REGULATORY INQUIRY
• LEGAL PROTECTIONS WHEN OFFERING FREE FINANCIAL CONSULTATIONS
• HOW TO AVOID LEGAL RISKS WHEN OFFERING DISCOUNTS ON FEES
• COMPLYING WITH RULES FOR SOCIAL MEDIA PROMOTIONS
• HOW TO MANAGE CLIENT DATA IN MARKETING CAMPAIGNS SAFELY
ETHICS, FRAUD PREVENTION, AND PROFESSIONAL CONDUCT
• HOW TO AVOID CONFLICTS OF INTEREST IN CLIENT RELATIONSHIPS
• NAVIGATING ETHICAL DILEMMAS IN INVESTMENT ADVICE
• WHAT TO DO IF YOU SUSPECT FRAUD AMONG CLIENTS
• HOW TO PREVENT INSIDER TRADING IN YOUR FIRM
• COMPLYING WITH ANTI-BRIBERY AND CORRUPTION LAWS
• WHAT TO KNOW ABOUT WHISTLEBLOWER PROTECTIONS IN FINANCE
• HOW TO RESPOND TO ALLEGATIONS OF PROFESSIONAL MISCONDUCT
• LEGAL GUIDELINES FOR HANDLING CUSTOMER COMPLAINTS ETHICALLY
• HOW TO DEVELOP A CODE OF ETHICS FOR FINANCIAL ADVISORS
• HANDLING ALLEGATIONS OF ELDER FINANCIAL ABUSE
• WHAT TO DO IF YOU DISCOVER A CLIENT ENGAGING IN FRAUD
• HOW TO HANDLE DISPUTES BETWEEN BUSINESS PARTNERS LEGALLY
• COMPLYING WITH LEGAL REQUIREMENTS FOR CONTINUING EDUCATION
• WHAT TO KNOW ABOUT REPORTING UNETHICAL PRACTICES IN YOUR FIRM
• HOW TO AVOID ETHICAL VIOLATIONS IN COMMISSION-BASED SALES
• MANAGING LEGAL RISKS WHEN OFFERING FREE INVESTMENT ADVICE
• HOW TO PREVENT FRAUD IN CLIENT ACCOUNTS
• LEGAL GUIDELINES FOR HANDLING SUSPICIOUS CLIENT ACTIVITY
• WHAT TO DO IF A CLIENT REPORTS A DATA BREACH
• HOW TO SAFEGUARD YOUR REPUTATION DURING REGULATORY INQUIRIES