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Regulators are Setting Their 2017 Priorities. Are You?

fi360

Feb. 7, 2017
Recorded Online
Webcast

FINRA and the SEC have their examination priorities for financial advisors in place for the New Year and the DOL has provided additional guidance on complying with its Conflicts of Interest Rule.

As an investment fiduciary, are your due diligence practices ready for testing by securities regulators?

In this webinar, we examine the key priorities affecting fiduciary advice, as well as related, trending topics of interest.

Presenters:

  • Blaine F. Aikin, AIFA®, CFA, CFP®, Executive Chairman, fi360
  • Duane Thompson, AIFA®, Senior Policy Analyst, fi360

More Information, How to Register

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