Thu, Sep 17 | Webinar

JOIN US! September 17, 2020 | What advisors and CFP® professionals need to know about Regulatory Exams and Audits.

What financial advisors and CFP® professionals need to know about Regulatory Exams and Audits.
Registration is Closed

Time & Location

Sep 17, 2020, 11:00 AM – 12:00 PM
Webinar

About The Event

What financial advisors and CFP® professionals need to know about Regulatory Exams and Audits.

While routine and surprise regulatory exams/audits may start at the firm level, your firm’s compliance mistakes can put individual financial advisors and CFP® professionals in hot water too!  Even more, CFP Board holds CFP® professionals responsible to comply with the laws, rules, and regulations governing Professional Services – not the firm.

Join us for inside look into individual liability that can flow from your firm’s regulatory mistakes.  Chief Compliance Officer and current compliance professional, Lisa Marsden, will explore hot buttons for regulators when it comes to individual financial professionals under both SEC and FL rules and discuss some of the most common SMALL mistakes that can have BIG consequences.

Topics include:

• Registration & Licensing rules that hold the individual adviser liable 

• Supporting documentation deficiencies for your advice and recommendations

• How you are responsible for your Firm’s Form ADV and your registration (U5)

• Firm policies and procedures you might be violating everyday 

• Regulatory reviews of Business Continuity Plans in a COVID-19 world

• “Safe Harbors” that are not really safe

Application for continuing education credit has been filed with CFP Board.

Capacity of this webinar is limited to 100. Don't delay, register today!

This webinar is FREE for FPA members. $15 for non-members.

Stay for the After Show

Once the course has concluded, hang around for the "after show." We'll continue the discussion and answer questions.

This webinar is FREE for member of FPA. $15 for non-members.

Payments will be process through FPA of Tampa Bay.

Registration is Closed

Share This Event

Vision:  To elevate the profession that transforms lives through the power of financial planning.

 

Mission:  The FPA of Miami seeks to create an indispensable professional community experience by promoting the financial planning profession.  To that end, we aim to be extraordinary in our programs, advocacy efforts, and service.  

© 2018 FPA of Miami.

6815 Biscayne Blvd | Suite 103 #323 | Miami, FL 33138 

  • Facebook FPA Miami
  • Instagram FPA of Miami
  • Twitter Social Icon