What Compliance Means for You and Your Firm - NAPFA Credit Only

Lori Neidel

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.

1 NAPFA CE in A - Financial Planning Process will be posted in your NAPFA CE record after downloading this recording.

This is a recorded webinar from February 2020.

After purchase, you may access your recorded self-study courses under the My Webinars link on your My Account page of the NAPFA website for the next 90 days.