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