WEBINAR Streamlining Compliance of SEC's RegBi and CFP Code and Standards
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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. CFP CE: 1.00 FREE for FPA of Illinois Members

11/12/2019
When: Tuesday, November 12, 2019
Noon - 1:00 pm
Where: Live Webinar
United States

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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. Paul Brahim, moderator, will lead this interactive discussion and field audience questions during the program.

Level of Complexity: Intermediate

Course Objectives:

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.

    CFP CE: 1.00


FREE for FPA of Illinois Members

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