Join us for an inside look on how you can be personally liable for your firm's 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 Florida rules and discuss some of the most common SMALL mistakes that can have BIG consequences.See full session description below.
Application for continuing education credit has been filed with CFP Board.Capacity of this webinar is limited to 100.
Don't delay, register today!Stay for Overtime
Once the course has concluded, hang around for the "after show." We'll continue the discussion and answer questions.