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Hosted by Northeast Florida FPA

Professional Series. Is Your Underwear Drawer in Order



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.

Thursday, September 17, 2020
11:00 AM - 12:00 PM

Location
ZOOM Virtual Event
   
 



Agenda

 


Lisa A. Marsden, ICACCP®
Coulter Strategic Services

Sep 17 2020 11:00AM


Is Your Underwear Drawer In Order?


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.

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
• Firm policies and procedures you might be violating everyday
• Regulatory reviews of Business Continuity Plans in a COVID-19 world


Event ID  283