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What Compliance Means for You and Your Firm
Course Information
Content Level: Foundational
NAPFA Subject Area: A-Financial Planning Process
Course Description
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.
Lori Neidel
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.
Availability: On-Demand
Expires on Oct 14, 2022
Cost: Member: $0.00
Non-Member: $39.00
Credit Offered:
1 NAPFA CE Credit
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