This comprehensive session, which is eligible for two Ethics credits for IARS and two Professional Conduct credits for CFPs, is designed to unravel the intricacies of dual registration, an increasingly pertinent topic in the evolving landscape of financial regulation.
In our introductory segment, we will set the stage by discussing the significance of dual registration in the financial sector, offering a succinct yet thorough overview that underscores its relevance in today's market. Moving forward, we delve into the definition, scope, and historical evolution of dual registration, including a detailed examination of the regulatory frameworks imposed by both the SEC and state authorities. Our expert speakers will navigate the labyrinth of regulatory compliance challenges, emphasizing key issues such as fiduciary duties, reporting requirements, and managing conflicts of interest.
The webinar will also shed light on the operational hurdles associated with dual registration, discussing the technological infrastructure needed for compliance, data management intricacies, and the crucial role of staff training and management. In addition, we'll explore the legal and contractual aspects, highlighting the importance of proper documentation and strategies for dispute resolution in dual registration contexts.
Risk management is another core topic, where we will outline effective strategies for identifying, assessing, and mitigating risks, complemented by regular compliance assessments. Engaging case studies will provide real-world insights into successful implementations of dual registration, along with challenges faced and lessons learned.
*CE Eligible: 2 CE credits are available to subscribers with these designations: CFP, CLU, ChFC and RICP - Category: Professional Conduct and Regulation. Special Note: This program is also approved for two CE credit hours for Investment Advisor Representatives - Category: Ethics.