PFP2401W. PFP Workshop Session: What You Need to Know about Investment Adviser Regulations

• 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
• Q&A

Learning Objectives:

• Identify whether you have or will cross the line when providing investment advice so you know when or if to register as an investment adviser
• Identify Investment advisory business model options and pros and cons of each
• Identify whether you will cover your compliance needs or outsource