Event Information
NAPFA Webinar - Annual Compliance Review
Online Webinar
Thursday, February 25, 2021
3:00 PM - 4:00 PM
iCalendar
Central Standard Time
3:00 PM ET (2:00 PM CT, 12:00 PM PT)
1 NAPFA CE in A – Financial Planning Process and 1 CFP® CE
Member: $39; Non-Member: $59
Description:
Annual review of compliance policies and procedures. Identify compliance risks applicable to investment advisers. Design internal controls and learn mitigation steps to minimize and eliminate risks. Learn regulatory expectations in performing the annual compliance review. Overview of SEC’s new client testimonial rule change.
Learning Objectives:
• Document review of the compliance policies and procedures
• Learn how to conduct a gap analysis
• Examine new regulatory requirements and expectations