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Understanding and Applying the CFP Board's New Code of Ethics and Standards of Conduct

November 20, 2019
1:00 PM - 2:00 PM Central
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November 20, 2019
1:00 PM - 2:00 PM Central

We will address the new Code of Ethics and Standards of Conduct, compare them to existing and pending requirements for investment adviser and broker-dealer representatives (including Reg BI), and discuss how to supervise compliance with the new Code and Standards.

Events Contact

 
Heather Stripling
T: 205.250.8332
  Email Professional

Speaker

 
Lori H. Patterson
T: 901.577.8241
  Email Professional

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