PFP23101C. Building Your Tax and Financial Planning Advisory Business Workshop: Regulatory and Compliance Issues

• Determine whether you have or will cross the line when providing investment advice, so you know when or if to register as an investment adviser
• Investment advisory business model options and pros and cons of each
• Registration process
• Regulatory oversight
• Compliance programs
• Determine whether you will cover your compliance needs or outsource
  • Hot topics (social media rules, custody, etc.)
  • Protecting your practice with insurance
  • Hear how panelists chose their model
  • Q&A
  • Reflection time for participants

Learning Objectives:

• Determine when you cross the line and are providing investment advice.
• Recall the pros and cons of the various investment advisory business models.
• Distinguish how other CPAs have chosen their investment advisory path.
• Recognize whether you want to provide investment advice and how you want to proceed.