Your compliance program requires rigorous attention to detail, ongoing evolution, and strict adherence to regulatory standards. And for compliance professionals, that’s all in a day’s work.
What about the compliance requirements that impact the firm’s individual Investment Adviser Representatives (IAR)? With the vast majority of their time focused on your clients, compliance might not make the daily (or even weekly) to-do list for an IAR.
Unfortunately, this can have a significant impact, especially when you’re talking about IAR Continuing Education (CE) requirements.
To help you avoid the ramifications that come with failure to complete CE requirements, we’ve aggregated the answers to some of your most frequently asked questions on all things IAR CE for 2025.