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Top Regulatory Updates So You Can Sleep at Night – Part 2
Course Information
Content Level: Intermediate
NAPFA Subject Area: K-Marketing and Practice Management
Course Description

Announcing the second program in a twice-yearly compliance update to help you best serve your clients! The previous webinar focused broadly on important compliance concepts. This webinar will focus more deeply on hot topics at the state and SEC levels, as indicated in regulators’ publications and as seen in their exams, including:

  • Handling the ADV annual amendment process due by 3/31/2023 and the delivery/offering process due by 4/30/2023
  • Form CRS usage, accuracy, and redelivery problems
  • ESG investing disclosures and risks
  • Fee billing pitfalls and mistakes
  • Mutual fund optimization
  • Sorting through the confusion of the new IRA rollover rules and the upcoming first Annual Retrospective Review
  • Cybersecurity
  • Texting and the use of personal email accounts
  • Exploring whether/how the New Marketing Rule affects your firm

It is imperative to understand these focus areas if you wish to work with clients in the most compliant manner and avoid costly regulatory findings, client refunds, and arbitration/litigation proceedings.

Learning Objectives
  1. Gain awareness of new and pending regulations
  2. Understand current topics that are significant to regulators
  3. Learn best practices for compliance

Jeff A. Lang, Esq.

Jeff Lang, CFP®, IACCP, is a member of Stark & Stark’s Investment Management & Securities Group  in the Lawrenceville, New Jersey office and has more than 25 years of regulatory and compliance experience, including SEC, FINRA, and global corporate compliance expertise. Jeff has served as a Chief Compliance Officer with both large institutional and start-up registered investment advisers. He concentrates his practice on all facets of Investment Adviser and Broker-Dealer compliance, managed accounts, oversight of business practices and supervision, and risk assessments.

Joseph C. Antonakakis, Esq.

Joseph Antonakakis is an Associate at Stark & Stark and a member of the firm’s Investment Management & Securities Group. He concentrates his practice on counseling financial service entities, including investment advisers, broker-dealers, public and private investment companies like mutual funds and hedge funds, and their employees, on regulatory, compliance, liability and litigation issues.

Availability: Retired
Initial Cost: Member: $0.00
Non-Member: $39.00
Additional Cost: CFP® CE: $10.00
Credit Offered:
No Credit Offered
Contains: 2 Courses