Learning Center

Journal in the Round: Regulation—An Opportunity, Not a Burden

Product not yet rated

  • Registration Closed

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 businesses 
  • Outline ways in which regulation practices can be implemented and how to leverage regulation practices to grow their businesses 

Rochelle A. Truzzi

Managing Director, Hardin Compliance Consulting LLC

Truzzi has worked in the securities industry for more than twenty-five years and has extensive broker-dealer and investment adviser regulations and compliance experience. She has been responsible for the coordination of new membership applications for several broker-dealer firms as well as the management of the licensing and registrations of many firms and all associated persons. In addition, Truzzi has experience in the development of written supervisory procedures as well as anti-money laundering, business continuity, compliance, and continuing education programs tailored to firms’ specific needs. 

Paul Brahim, CFP®, AIFA®, Series 6, 7, 24, 53 & 63 Securities Registrations, Series 65 Advisory Registration

Managing Director, SVP - Financial Advisor

Brahim has truly lived the American dream, beginning his career in financial services with no formal training and raising through the ranks to hold prestigious positions like CEO of BPU Investments. As an adviser at Wealth Enhancement Group, Brahim uses his financial planning, investment management and business skills to work with CEOs on their retirement and succession plans. He also provides guidance with regard to their employee retirement and financial wellness programs. He is active in his community with organizations like the Heritage Community Initiative, the Navy Seal Foundation and the Financial Planning Association. He has also acted as an expert witness for a variety of legal cases. 

Raymond Benton, CFP®, CRPC, EA

Benton & Company

A. Raymond Benton is a CERTIFIED FINANCIAL PLANNER professional and member of FPA, serving clients at Benton & Company in Denver, Colo. and the surrounding communities.

image

Key:

Complete
Failed
Available
Locked
Journal in the Round: Regulation—An Opportunity, Not a Burden
09/23/2020 at 12:00 PM (MDT)   |  60 minutes
09/23/2020 at 12:00 PM (MDT)   |  60 minutes 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.
Course Evaluation
7 Questions
Certificate of Completion
1.0 CFP CE credit  |  Certificate available
1.0 CFP CE credit  |  Certificate available