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AICPA & CIMA ENGAGE 2023

PFP23101C - Regulatory and Compliance Issues


Jun 3, 2023 3:45pm ‐ Jun 3, 2023 5:50pm


Description

* 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

Speaker(s):

  • Ellen M. Bruno, CPA, CGMA, PFS, President, Compliance Advisor Professionals,LLC
Tags: PFP

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