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Thursday, November 18, 2010

1:50 PM - 2:40 PM
Track: Financial Planning View Track

REGULATORY REFORM- WHAT IT MEANS TO YOUR PRACTICE (1 CPE + 1 CREDIT HOUR CFP CE APPROVED )

Michael Pagano, JD, CRCP Executive Vice President, Chief Compliance Officer, 1ST GLOBAL

•Why a universal fiduciary standard of care applied to anyone providing investment advice might not necessarily be the best thing for all your clients •What the new SEC custody rules will mean to an individual advisor’s practice •How advisors are augmenting their due diligence process to help avoid the Ponzi of the month

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