The Compliance Collection - What You Need to Know

1:30 PM - 2:30 PM
Pacific Ballroom 21/22

This session will provide an update on the new adviser marketing and testimonial rules, IAR continuing education requirements, DOL's PTE 2020-02, and the States' efforts scrutinizing fees for financial planning services. The new proposed SEC's rules on due diligence of certain providers and cybersecurity will also be reviewed.

Learning Objectives: 

  1. Understand insights on recent rules affecting advisers 
  2. Determine where additional helpful resources for compliance assistance can be found
  3. Learn the changes in policies and procedures needed to be in compliance with the recent regulations