How to Successfully Complete a 2020 SEC Exam and Avoid Costly SEC Findings, Client Refunds and Arbitration/Litigation Proceedings
Presented by:
Tom Giachetti, Stark & Stark
Stephen A. Galletto, Stark & Stark
Cary Kvitka, Stark & Stark
Monday, January 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
Among the topics to be covered are exam preparation, new regulatory focus issues, importance of full disclosure, and how to properly address conflicts of interest. The learning objectives include:
• Appropriate examination preparation;
• Recognizing conflicts, and how to adequately disclose them;
• Recommended client agreement provisions;
• Initial and Ongoing in-take and objective confirmation process, including appropriate disclosures; and,
• New/pending regulatory focus issues, including portfolio activity, fee dispersion, and Form CRS
This presentation is considered advanced in content or intended for Chief Compliance Officers, Chief Operating Officers, and Senior Firm management/owners