PLEASE NOTE THAT CE CREDIT IS ONLY AVAILABLE FOR THE LIVE PRESENTATION
 

THIS COURSE IS FREE TO FPA MEMBERS 
Not a member? Join FPA to gain access to this course, plus many more, for free. 


In this on-going live webinar series created especially for FPA members who are CFP® professionals, our panel of experts will help participants understand some similarities and differences between RegBi and the SEC changes to RIA standards, and the CFP Code and Standards with the goal of identifying the work needed to comply and the steps necessary to streamline both processes into one. The panel will first focus on an overview of both standards, diving into a side-by-side comparison of similarities and differences and then provide action-oriented guidelines for compliance. An interactive session, moderator Paul Brahim will lead the discussion and field audience questions throughout.
 

Level of Complexity: Intermediate

Course Objectives
  • Create one document to comply with both standards.
  • Compare the new RegBi and CFP standards with focus on compliance needs for CFP Professionals.
  • Identify work flow and processes required for compliance.
Event Information
Start Time:
November 12, 2019 2:00 PM Eastern
1:00 PM Central, 12:00 PM Mountain, 11:00 AM Pacific
Add to Calendar:
Estimated Length:
1 hour
Registration Time Remaining:
53 days
FPA Member Price:
Free
Non-Member Price:
$49.00
How You Comply: Streamlining Compliance of SEC’s RegBi and CFP Code and Standards
Speaker Information
Blaine F. Aikin, AIFA, CFA, CFP  [ view bio ]
Paul Brahim, CFP, AIFA  [ view bio ]
Fred Reish, Atty.  [ view bio ]
Individual topic purchase: Selected
Financial Planning Association
CFP CE: 1.00
Products
Live Event + Archive
FPA Member Price:$0.00