In partnership with Peters Professional Education, this program will be held on the Peters Professional Education learning platform.
You will receive an access link prior to the event.
The regulatory world is complex for financial advisors. Not only are you subject to SEC and FINRA regulations, but also what the IRS does as well. Clients expect you to be on top of what is happening in the world of investing, insurance, and taxes. It is not enough to just know the code section or the final rule affecting them. Your clients want to know how changes and updates affect their financial well-being. And what if you are a Certified Financial Planner? Then we need to worry about CFP Board too! It is enough to make your head spin! That’s where our quarterly practice and regulatory update can help. In this four-hour update, we will discuss regulatory happenings from many different areas that affect financial advisors. Don’t worry. We won’t just hurl code sections at you. Using practical and easy to understand examples, we will illustrate the concepts that mean the most to you—so you will be well-prepared for the many things that a client throws your way!
Required Knowledge: Previous experience in financial planning, investment management, or other related financial professional fields.
Advanced Preparation: None
Who Should Attend: Experienced tax professionals and financial advisors