网络研讨会

SEC Standards of Conduct: Navigating New Requirements for Retail Advice Disclosures

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2019年9月10日

12:00 下午 - 01:15 下午 Eastern Daylight Time

11:00 上午 - 12:15 下午 Central Daylight Time

09:00 上午 - 10:15 上午 Pacific Daylight Time

Join us for a focused discussion of new and enhanced disclosure requirements for retail advice under the Securities and Exchange Commission's Form CRS, Regulation Best Interest, the Interpretation of the Standard of Conduct for Investment Advisers, and the Certified Financial Planners Board's Standard of Conduct.

TOPICS INCLUDE:

Overview of disclosure requirements for broker-dealers and investment advisers
How to operationalize a holistic approach to disclosures and where to start
Layered disclosure structures
Treatment of conflicts of interest
Supporting CFP professionals' obligations under the new standards
Maintaining consistent disclosures over time

CLE credit: CLE credit in CA, IL, NY, PA, TX, and VA is currently pending approval. Credit in CT, FL, and NJ is pending approval via reciprocity.