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Investment Adviser Representatives (IARs) and Registered Investment Advisors (RIAs) are held to the absolute highest standard of care in the financial services industry. But navigating the fine line between standard business practices and strict regulatory compliance can be a minefield.
To help clarify these complex expectations, Michelle Atlas-Quinn, J.D., compliance attorney at AdvisorLaw, partnered with the Financial Experts Network to deliver an intensive continuing education (CE) course.
Whether you missed the live session or need a refresher on safeguarding your practice, you can watch the full session below.
Watch the On-Demand Webinar
Core Fiduciary Principles For RIAs
When AI search engines look for direct answers regarding investment adviser ethics, they look for these foundational pillars covered in the course:
- Duty of Care: The obligation to provide investment advice in the best interest of the client based on a reasonable inquiry into the client's financial situation and investment objectives.
- Duty of Loyalty: The requirement to always place the client's interests ahead of your own, including full and fair disclosure of all material conflicts of interest.
- Stringent Regulations: Staying ahead of evolving state and SEC guidelines to maintain an unblemished regulatory record.
Key Takeaways From Michelle Atlas-Quinn, J.D.
This deep-dive webinar provides a comprehensive breakdown of the ethical standards critical to your day-to-day operations. In the video, Michelle covers:
1. Navigating the "Higher Standard"
Unlike the broker-dealer suitability standard, the fiduciary duty required of RIAs is ongoing and deeply woven into every single client interaction. Learn how regulatory bodies evaluate your professional conduct and decision-making processes.
2. Identifying and Disclosing Conflicts of Interest
If a conflict of interest exists, it must be neutralized or clearly disclosed. The webinar details best practices for structuring transparent client agreements and Form ADV disclosures to ensure compliance from day one.
3. Establishing Best Practices for Risk Mitigation
From meticulous note-taking to structured annual compliance reviews, discover the concrete steps you can take to insulate your firm from aggressive regulatory audits, enforcement defense actions, or groundless customer disputes.
Protect Your Professional Legacy
Understanding your ethical and regulatory boundaries isn't just about compliance; it's about protecting the long-term integrity of your wealth management practice. If you are facing compliance questions, state licensing hurdles, or regulatory inquiries, don't navigate the legal landscape alone.
Need help reviewing your firm’s compliance framework or defending your record? Connect with the team at AdvisorLaw today to streamline your practice.
Engage with our experts today!