Are you in compliance with the new CFP Board Code of Ethics and Standards of Conduct that has been enforced since June 30? To help members comply with the new standards, FPA released a compliance toolkit that includes a model fiduciary engagement agreement, financial action plan, and more. Join Paul Brahim, CFP®, 2020 member of the FPA Member Advocacy Council, and Rochelle Truzzi, managing director at Hardin Compliance Consulting, as they explain how the toolkit helps financial planners manage regulation in their businesses and how to leverage regulation practices to grow their business.
This online, interactive roundtable conversation will be moderated by Raymond Benton, CFP®, Journal in the Round moderator and FPA member.
- Integrate the Practice Standards in developing and
communicating a financial plan for a client
- Discuss the fiduciary standard and its importance to
the planner-client relationship
- Explain how the FPA compliance toolkit guides
financial planners in complying with the new
CFP Board Code of Ethics and Standards of Conduct
- Describe how the FPA compliance toolkit helps
financial planners manage regulation in their
- Outline ways in which regulation practices can be
implemented and how to leverage regulation
practices to grow their businesses