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Is Your Underwear Drawer in Order? What financial advisors and CFP professionals need to know about Regulatory Exams and Audits
Professional Series. Is Your Underwear Drawer in Order?
What financial advisors and CFP® professionals need to know about Regulatory Exams and Audits.

While routine and surprise regulatory exams/audits may start at the firm level, your firm’s compliance mistakes can put individual financial advisors and CFP® professionals in hot water too! Even more, CFP Board holds CFP® professionals responsible to comply with the laws, rules, and regulations governing Professional Services – not the firm.

Please make plans to join us for an inside look on how you can be personally liable for your firm's mistakes. Chief Compliance Officer and current compliance professional, Lisa Marsden, will explore hot buttons for regulators when it comes to individual financial professionals under both SEC and Florida rules and discuss some of the most common SMALL mistakes that can have BIG consequences.

Topics include:
• Registration and Licensing rules that hold the individual adviser liable
• Supporting documentation deficiencies for your advice and recommendations
• How you are responsible for your Firm’s Form ADV and your registration
• Firm policies and procedures you might be violating everyday
• Regulatory reviews of Business Continuity Plans in a COVID-19 world

This webinar is FREE for FPA members. $15 for non-members. To pay the non-member registration fee, please visit
http://PlanningTampaBay.org/2020-Sept-17-Pay

(All fees processed through FPA of Tampa Bay)

Sep 17, 2020 11:00 AM in Eastern Time (US and Canada)

Financial Planning Association of Florida
Webinar is over, you cannot register now. If you have any questions, please contact Webinar host: FPA of Florida.