*CE Eligible: 2 CE credits are available to subscribers with these designations: CFP, CLU, ChFC and RICP. Special Note: This program is also approved for two CE ethics credit hours for Investment Advisor Representatives.
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/CPE Eligible: 2.2 CE credit(s) is(are) available to FEN Members with these designations: CFP, IAR, CLU, ChFC and RICP. CPA members will earn 2.2 CPE credit(s).
Field of Study: Specialized Knowledge
Prerequisites: There are no prerequisites for this session.
Advanced Preparation: None
Program Level: Basic
Delivery Method: Group Internet Based
NASBA Approved
Financial Experts Network (Sponsor Id#: 145173) is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.