Avoid Compliance and Regulatory Issues 2026 is a 1.0 credit Ethics and Professional Responsibility IAR CE course designed for investment adviser representatives, compliance personnel, and advisory firm leaders who want a practical overview of common regulatory compliance pitfalls and how to avoid them.
This course reviews key compliance issues affecting SEC and state-registered investment advisers, including fiduciary obligations, disclosures, conflicts of interest, marketing practices, policies and procedures, books and records, supervision, and enforcement risk. The session is designed to help advisory professionals recognize areas that may create regulatory exposure and take proactive steps to strengthen their compliance practices.
Participants will gain practical insight into how compliance issues arise in day-to-day advisory operations and how firms can use policies, documentation, training, and internal controls to reduce risk. This course is appropriate for investment adviser representatives seeking IAR CE credit, as well as advisory firm personnel looking for a clear and practical refresher on compliance expectations for 2026.