Lori J. Neidel, Attorney and Founder of Adviser Compliance Services
Thursday, February 27, 2020 at 3:00 - 4:00 PM ET (2:00 PM CT, 12:00 PM PT)
Earn: 1 CFP CE and 1 NAPFA CE in A – Financial Planning Process
Member: Free; Non-Member: $39
This presentation is an overview of what compliance entails, covering topics such as the Form ADV, role of the Chief Compliance Officer, marketing/advertising, needed books and records, trading policies, cybersecurity, custody and other elements of an adviser’s compliance program. This is a great talk for advisors considering opening their own practice and also a good overview for others to help educate them on what compliance means for them and their firm. Original content in this presentation is derived from the NAPFA Practice Foundation Program.
Complementing her existing practice, the Law Office of Lori J. Neidel LLC, Lori formed Adviser Compliance Services as a happy medium between attentive, attorney-level care at reasonable, CCO-level rates. Lori brings firms a wealth of securities industry experience and enthusiasm.
Lori received her law degree and undergraduate degree from St. Louis University. In 2009, she earned the CRCP designation from the FINRA Wharton Institute for Certified Regulatory and Compliance Professionals. Lori is engaged in professional organizations by being a member of the Greater St. Louis Compliance Roundtable. She previously served as the Vice Chair of the Board of Trustees for the State of Missouri’s $8 billion employee retirement system. Lori also enjoys being active in her Columbia, Missouri community by being an engaged member in her local Rotary chapter.