IMCA offers approximately 12 audio broadcasts each year. These broadcasts are one-hour teleconference sessions on hot industry topics with renowned speakers and are pre-approved for one hour of IMCA-sponsored continuing education credit. The broadcasts offer the convenience of learning at your desk or at your home and are archived for later purchase and attendance. Registration for broadcasts is $50 for members ($75 for nonmembers), and registration for the live broadcast will grant you access to the archived version with no transfer fees. Either type of broadcast (live or archived) is an excellent way to earn IMCA-sponsored CE credit hours.

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• Explain how to recognize an ethical dilemma, with a particular emphasis on conflict of interest;
• Describe how to identify interested parties and the duties owed to each;
• Identify laws and other rules that may apply to a particular situation;
• Discuss ways to identify sources of advice and support to resolve ethical dilemmas;
• Describe ways to identify and present alternative solutions; and
• Present a short case study to demonstrate in practice the principles set forth in the session.

Ms. Bloom is a Washington DC attorney who specializes in business and professional ethics and responsible litigation risk management. She has spent almost 20 years teaching business professionals how to maintain high ethical standards in daily practice. Ms. Bloom is a contributing columnist for TheStreet.com and author of The Art of the Apology—How to Apologize Effectively to Practically Anyone, as well as the e-book Elegant Ethical Solutions. She earned a JD from Catholic University and an LLM from Georgetown University.

Upcoming Live Audio Broadcasts:

• 4:15 PM ET, April 22, 2010
• 4:15 PM ET, May 20, 2010
• 4:15 PM ET, June 17, 2010
• 4:15 PM ET, July 15, 2010
• 4:15 PM ET, August 19, 2010
• 4:15 PM ET, September 16, 2010
• 4:15 PM ET, October 21, 2010
• 4:15 PM ET, November 18, 2010
• 4:15 PM ET, December 16, 2010

Mr. Heffington works for Van Kampen Investments, where he has held a number of positions in retirement plan consulting, retirement plan products, and national accounts covering financial institutions. Previously he held various positions in operations, compliance, sales, and marketing of investment products. He has owned an administration company and has designed and implemented more than 2,500 retirement plans. Mr. Heffington speaks on a range of financial industry topics, has been a frequent guest lecturer at the University of Southern California, and is co-author of Get Inspired to Retire: Over 150 Ideas to Help Find Your Retirement. Mr. Heffington earned a BS/BA in accounting and taxation from Colorado State University.

Consulting in a Crisis: The Road to Recovery
Presented by Robert L. Finder Jr., CIMA^®, CIS, Wachovia Securities
(originally presented on April 16, 2009)
CE Credit: One hour CIMA^®/CIMC^®, one hour core topic CPWA^®
Available for purchase through 4/16/2010; available for listening through 4/30/2010.

For several months, investment advisors have been preparing for and conducting meetings with clients and prospects whose emotions range from calm concern to outright panic. This session will provide you with tips for dealing with fragile client confidence in this highly volatile and negatively charged environment. Learn how to be fully prepared in several key areas of interest important to all clients—whether they are high-net-worth individuals or fiduciaries responsible for a trust, endowment, foundation, or retirement plan. The five key areas of common interest are:

1. Current market conditions
2. Past discussions and investment plans
3. Current portfolio performance
4. Perspective on what’s happening
5. Recovery strategy

Each of these areas will be examined with particular emphasis on areas four and five as well as the dire consequences awaiting investment advisors who fail to heed the call to action.

Mr. Finder is managing director of the investment management consulting group for Wachovia Securities headquartered in St. Louis, MO. He and his team of senior investment management consultants and portfolio specialists work closely with leading financial advisors throughout the country and internationally to develop advisory-based investment solutions for high-net-worth individuals, institutions, foundations, and retirement funds. Before joining Wachovia in March 2008, Mr. Finder was senior vice president and executive director of wealth management solutions for Prudential Investments in Newark, NJ.

Putting Clients First: Financial Planning after the Fall (ethics)
Presented by Dan Candura, CFP^®, Candura Group, LLC
(originally presented on May 21, 2009)
CE Credit: One ethics hour CIMA^®/CIMC^®, one ethics core topic hour CPWA^®
Available for purchase through 5/21/2010; available for listening through 5/31/2010.
This session leads you through an examination of the ethical issues facing financial professionals in the post-Madoff era:

• The importance of gaining client agreement before providing advice and the effects on accountability
• The benefits of transparency and disclosure
• How the economic collapse and the uproar over investment scams affects the way your clients view your advice
• What it takes to build a truly client-focused practice

Dan Candura, CFP^®, has presented hundreds of seminars across the country on topics ranging from the basics of financial planning to the future of quality within the financial services industry. He served on the Board of Directors of The Certified Financial Planner Board of Standards, Inc., and received his CERTIFIED FINANCIAL PLANNER™ certification in 1987. In December 1999, Ticker Magazine recognized Mr. Candura in their annual Ace Advisor selection for his innovation and commitment to clients. He is a 1971 graduate of Stonehill College in North Easton, MA, and earned a Masters Degree from Bridgewater State College in 1975.

Motivating Employees During Challenging Times
Presented by Kathleen Shotkoski, SPHR, Securities America, Inc.
(originally presented on June 18, 2009)
CE Credit: One hour CIMA^®/CIMC^®, one non-core topic hour CPWA^®
Available for purchase through 6/18/2010; available for listening through 6/30/2010.
During challenging times, employee engagement and retention are more important than ever. But when budgets are tight, emotions can run high. Employees worry about finances and job loss, and work production slows drastically. How can you motivate and inspire your team during times of uncertainty? This session will present specific leadership techniques to use during good and tough times to foster loyalty, morale, and purpose in your workplace.

Kathleen Shotkoski, SPHR, is vice-president of human resources and training at Securities America, where she is in charge of recruitment, selection, compensation, benefits, employment compliance, and performance management, and directs the development and implementation of various training initiatives including employee training, continuing education, and certification. Previously she worked as a human resource consultant with SilverStone Group. She earned a BSBA from the University of Nebraska at Omaha; she holds the Senior Professional in Human Resources certification and is active in her local chapter of the Society of Human Resource Management.

• Overview of performance in fixed income sectors
• Fixed income markets: signs of improvement with government aid
• What factors could influence returns going forward
• Fixed Income trading strategies

Mr. Young is a vice president for Fidelity Capital Markets (FCM), a division of Fidelity Investments. Mr. Young manages all Fixed Income distribution including retail, high net worth, family office, and correspondent broker dealers for Fidelity Capital Markets. He is a 30-year financial services veteran with extensive experience in fixed income markets and experience with institutional banking, portfolio management, trading and research in the domestic debt markets. Mr. Young received a Bachelor of Arts degree from the University of Minnesota and holds a CPF (Certificate of Public Finance) from the University of Michigan, School of Business Administration.

A Crisis of Confidence: Reforming Regulation
Presented by Daniel F. C. Crowley, K&L Gates LLP
(originally presented on September 17, 2009)
CE Credit: One hour CIMA^®/CIMC^®, one hour non-core topic CPWA^®
Available for purchase through 9/17/2010; available for listening through 9/30/2010
In the wake of the economic crisis, all of the laws and regulations governing financial services are being revisited simultaneously. The Obama Administration’s financial regulatory reform plan includes new fiduciary duties for investment advisors and brokers, new registration requirements for advisors to private funds, and a new regulatory framework for banking products, OTC derivatives, and other financial products. This session will focus on these proposals and the impact on investment management consultants and advisors. This session covers:

• Consumer Financial Protection Agency Act of 2009
• Investor Protection Act of 2009
• Private Fund Investment Advisors Registration Act of 2009

Mr. Crowley is a partner in the firm's Washington, D.C. office. His practice is focused on public policy issues relating to financial services and capital markets. He also provides research on public policy matters to institutional investors. Mr. Crowley represents financial services clients across a broad range of policy issues including accounting and financial reporting, broker-dealer and securities trading, commodities and futures, corporate governance, depository institutions, derivatives and securitization, hedge funds, insurance, investment management, and mortgage banking and consumer finance. He leads the firm's Capital Markets Reform Group which facilitates coordination across these practice areas on behalf of the firm's policy clients. Prior to joining K&L Gates, Mr. Crowley was chief government affairs officer at the Investment Company Institute, the national association of the mutual fund industry. Previously, Mr. Crowley was vice president and managing director, Office of Government Relations, the Nasdaq Stock Market, Inc. (NASDAQ). Mr. Crowley served for eight years in the U.S. House of Representatives.

Under the Hood: Leveraged ETFs and Your Portfolio
Presented by Phil Mackintosh, Credit Suisse
(originally presented on October 15, 2009)
CE Credit: One hour CIMA^®/CIMC^®, one hour non-core topic CPWA^®
Available for purchase through 10/15/2010; available for listening through 10/31/2010.
Leveraged ETFs have been one of the most successful new products launched in the past three years, but during the credit crisis, returns on many of these ETFs were not what investors anticipated. This unexpected performance has generated a lot of negative media and regulatory attention. This session:

• highlights the performance issues, debunks myths, and describes the regulatory landscape
• details the benefits of using leveraged ETFs in a portfolio
• investigates these products in detail, to help users understand what really affects returns
• explores how to better manage a portfolio containing leveraged ETFs

Mr. Mackintosh heads Credit Suisse’s global portfolio strategy team. This team specializes in trade analytics, including: event driven, statistical, and Delta One trading strategies, trade performance measurement, portfolio risks, and optimization. Mr. Mackintosh has worked in international markets from both the buy-side and sell-side of the business. His roles in the industry contribute to a unique working understanding of international portfolio management, performance, and execution risks.

Red Flags: Knowing When Clients Need Help from Outside Professionals
Presented by Fredda Herz Brown, PhD, and Sam Davis III, MBA, MTS, Relative Solutions
(originally presented on November 19, 2009)
CE Credit: One hour CIMA^®/CIMC^®, one hour core topic CPWA^®
Available for purchase through 11/19/2010; available for listening through 11/30/2010.
When dealing with financial matters, investment professionals often are confronted with emotional matters that affect both the timeliness and saliency of client decision making. It is sometimes difficult for advisors to determine which issues they can deal with comfortably on their own and which require the assistance of other professionals. This session focuses on understanding some of the emotional forces which impact client behaviors and their relationship with their advisors. Positive steps that advisors might take are offered as well as suggestions of the types of non-investment professionals who might assist. Also, the session offers suggestions of how advisors might better-react to the stresses of uncertain financial times and better-understand client responses.

Dr. Herz Brown is a principal at Relative Solutions and a pioneer in the field of family enterprise. Her research began at The Family Institute of Westchester, a world-renowned postgraduate training center in family systems work, which she founded with several colleagues. Dr. Herz Brown also was a member of the founding board of The Family Firm Institute where she spearheaded the work on developing the body of knowledge that defined the work of the field. In 2006, she joined with Dennis Jaffe, Fran Lotery, and Sam Davis to form Relative Solutions. She has written and published extensively on the subjects of women in family enterprise, raising children in wealth, board and leadership development, family governance, harmony and communication, and philanthropy.

Mr. Davis is a principal at Relative Solutions and brings more than 25 years of strategic management experience to the service of family enterprises. Having served as a consultant to family businesses, family offices, and family foundations for almost 15 years, he was designated a Fellow in the Family Firm Institute in 2006. Mr. Davis is recognized for his capabilities in addressing issues experienced by family enterprises, including: leadership and ownership transitions; family governance; strategic philanthropy; business strategy; and organizational change. Mr. Davis earned an MBA in Finance at The Wharton School of Business and graduated from The Episcopal Divinity School in Cambridge, MA with an MTS in Ethics and Theology.

• Characterizes the markets' current macro expectations
• Assesses the macro likelihoods
• Sets a macro-based investment strategy on this basis

• How to efficiently prepare for more than 300 review meetings annually, including content review and customized reporting
• What successes and difficulties Golden Gate has encountered
• How what you’re doing compares with others
• How to concisely discuss where the markets have been, how clients’ portfolios were affected, and strategy for the future—all in 25 minutes
• How to leave a lasting and meaningful impression on the client.

• Changes in the SEC enforcement program
• Changes in the SEC inspection program
• Recent rule-making initiatives at the SEC
• Summary of proposed legislation to address the financial crisis