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