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ON DEMAND
Join us for a live webinar that delves into the critical updates introduced by the Securities and Exchange Commission (SEC) in their recent risk alert. This comprehensive risk alert outlines the additional areas of emphasis during examinations, specifically focused on the amended Marketing Rule.
Our expert presenters will shed light on common mistakes made by financial advisors and provide invaluable insights on how to navigate the regulatory landscape effectively – We’ll cover marketing, digital advice and proposed new rules!
By attending, you will gain a deeper understanding of the regulatory environment, equipping you with the knowledge necessary to stay compliant and avoid potential pitfalls.
Key Takeaways:
Don't miss this opportunity to gain valuable insights and learn from the mistakes of others. Together, let's navigate the intricacies of compliance and pave the way for a successful future in the financial advisory industry.