Pre-Conference Optional Workshops Additional Fee
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
- Reflection time for participants
- 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.
NASBA Field of Study
3-4 years in the Profession