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How to Successfully Navigate a Regulatory Exam in an Ever-Increasing Aggressive Environment
Course Information
Content Level: Intermediate
NAPFA Subject Area: K-Marketing and Practice Management
Course Description

This session will address how to better prepare for a regulatory examination in the current ever increasing regulatory environment, including avoiding costly client reimbursements, custody, DOL, new marketing rule, SEC cyber initiative, important ADV and advisory agreement disclosures, and corresponding policies and procedures.

Learning Objectives
  1. Understand exam readiness
  2. Discover important ADV, agreement, and miscellaneous protective disclosures
  3. Learn how to avoid potential costly compliance mistakes

Thomas Giachetti, JD

A former investment banker and NASD registered representative, Thomas Giachetti’s legal practice is devoted to investment-related matters, including the representation of investment advisers, financial planners, broker-dealers, public and private investment companies (e.g., mutual funds, hedge funds, etc.), CPA firms, and registered representatives throughout the United States.

He also advises claimants and respondents in securities regulatory, arbitration and litigation matters.

Giachetti is a recognized author and commentator on investment-related legal matters and a frequent lecturer at securities industry compliance seminars, annual meetings, and educational programs throughout the country. He also serves as an expert witness in securities litigation/arbitration matters throughout the United States.

The Investment Management & Securities Practice Group of Stark & Stark represents investment advisers, financial planners, broker-dealers, CPA firms, registered representatives, public and private investment companies (e.g., mutual funds, hedge funds, etc.), and investors throughout the United States.

Availability: Retired
Initial Cost: Member: $39.00
Non-Member: $59.00
Additional Cost: CFP® CE: $10.00
Credit Offered:
No Credit Offered
Contains: 2 Courses
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