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Are You Ready for the SEC to Peer Into Your Firm's Closets? It is no secret that the SEC, through OCIE, has stepped up its efforts to examine investment advisers' compliance policies and procedures.
Don't get slammed by FINRA: Do right by your customers.This topic will enable you to gain insight into the various aspects of FINRA investigations, examinations, hearing and settlement process.
Determine how to best structure a portfolio for a trust and avoid the red flags associated with claims by beneficiaries when performance lags.Trusts and estate practitioners, including fiduciary litigators, commonly...
Gain an understanding of how to stay compliant with FINRA while using your digital presence and social media to obtain new clients. This topic will describe how to establish your personal brand and engage clients using...
Understand your ethical rules and obligations as an estate planner to improve client relations and ensure ethical compliance.This topic provides a basic overview of the ethical rules that effect the estate planner in...
State tax departments are becoming more aggressive at collecting revenues and the trend is likely to continue in light of state fiscal issues.The situs of a trust may impact the rules that govern the trust, the validity...
Gain an understanding of the new RMD rules due to the SECURE Act.For decades the rules requiring minimum distributions from retirement plans and IRAs were largely unchanged.
Gain an understanding on the key concepts you should be considering when estate planning for a dual resident client including tax issues and will options.
Understanding the many reasons as to why people initiate a will or a trust following a loved one's death, among that undue influence is one of the most common.
Understanding how to stay compliant with the IRS basis consistency requirements and new rules can help you and your clients ensure reporting is done is accurate and within the guidelines.
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