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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
    • 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.
CPE Credits
NASBA Field of Study
Regulatory Ethics
3-4 years in the Profession
Advanced Preparation
Session Tags