Iowa CLE - All Courses
This is a listing of CLE Courses for Iowa. Please make your selection below of Iowa CLE courses. Click "Add To Cart" to purchase Individual CLE Courses. For more information about a particular CLE course, click on the "More Info" link. Click the "Preview" button to view a short preview of the course.
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Technology Governance: Mitigating Risk Throughout the Vendor Lifecycle
This CLE course dives into factors firms should consider when outsourcing activities or functions to third-party providers. Hear from panelists as they discuss how to mitigate vendor risk with strong technology governance programs that encompass the lifecycle of vendor engagement, from onboarding, performing ongoing due diligence, responding to events, and offboarding. This session will discuss: Vendor Management and Due Diligence Regulatory Notice 21-29 (FINRA Reminds Firms of their... More Info
$501General Credit -
The Plaintiff Fact Sheet (“PFS”) in a Mass Tort Setting
The Plaintiff Fact Sheet (PFS) is a written questionnaire which takes the place of non-negotiated interrogatories, or written questions, and is typically served in Mass Tort litigation. In a Mass Tort case, the Parties negotiate the questions to be asked on the PFS questionnaires. The Defendants are entitled to ask questions in a PFS that provides both basic information about the claimant (date of birth, marital status) and specific information (date of injury, type of injury, name... More Info
$501.25General Credits -
The Progression of Regulation Best Interest and Form CRS
During this CLE session, panelists discuss recent observations on firm adherence to Regulation Best Interest and Form CRS and share guidance on Reasonably Available Alternatives, the Care Obligation, and Conflicts of Interest. This session will discuss: Actions: Recent SEC and FINRA findings in Reg BI and Form CRS Interpretation, guidance and best practices: Recent SEC and FINRA findings in Reg BI and Form CRS Reg Notice 23-20 Form CRS FAQs Reasonably Available Alter... More Info
$501General Credit