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Concurrent Session Onsite and Online

PFP2345. Taming the Compliance Beast

Compliance is critical when you own and lead a registered investment advisory firm. The presenters will discuss and guide you through the process of how to achieve and maintain compliance with the myriad of regulations impacting the financial planning and investment management professions. Participants will gain a perspective of the processes utilized by the presenters and guidance on how to delegate this important process with confidence.

Learning Objectives:

  • Participants will gain understanding as to the applicable processes needed to establish and remain compliant with regulations impacting registered investment advisors.
  • Understanding and selecting an appropriate compliance consultant will be presented for designating your "who" for compliance purposes.
  • Why it is vital that you appoint another professional as your Chief Compliance Officer to hold you and your team accountable.
CPE Credits
NASBA Field of Study
Business Management & Organization
3-4 years in the Profession
Advanced Preparation
Session Tags