Continental Breakfast
Delta Ballroom A
7:00 AM - 8:15 AM
2019 Anti-Money Laundering Firm Element
Delta Ballroom B
8:30 AM - 9:20 AM

Description

Provided by Advisor Group - This firm element session will discuss key elements of the Anti-Money Laundering (AML) program and highlight some key industry topics, including discussions on new topics and “refreshers” on topics that have been covered in previous years. All affiliated persons are required to complete this course.

Speakers

  • Daniel McGarrigle

    CAMS, Chief AML Officer, , Advisor Group

    Speaker

Financial Planner’s Ethical Success - CFP Ethics
Delta Ballroom D
8:30 AM - 10:20 AM

Description

Provided by Advisor Group - The CFP Board has made major changes to its Code of Ethics. The fiduciary standard which requires CFP® professionals to act in the best interest of the client when providing financial advice has been expanded as well as changes to other areas including disclosure.Join Jeff Rattiner, CPA, CFP®, MBA of the Rattiner’s Financial Planning Fast Track Inc's Educational Program as he navigates you with his revised continuing education program on how you guide your clients with “Financial Planning Ethical Success”.By attending this program, you will• Learn the revisions made to the Code in 2019.• Experience practical examples on how to apply these concepts• Gain an understanding on the purpose of the Code and how it affects you as a CFP® professional• Develop a re-understanding of the Code• Determine how to act and react in abiding by the Code. Upon finalization of the Code, this program will be submitted by Financial Planning Institute, LLC. to satisfy the CFP Board Code of Ethics continuing education requirement.

Speakers

  • Jeff Rattiner

    CPA, CFP®, MBA, JR Financial Group, Inc.

    Speaker

2019 Cybersecurity Firm Element - CFP Ethics
Delta Ballroom B
9:30 AM - 10:20 AM

Description

Provided by Advisor Group - In this firm element session we will be discussing the scope of the cyber threat, examine the regulatory landscape, current requirements, identify some best practices for risk mitigation, and discusses a cybersecurity framework developed by the U.S. government. All affiliated persons are required to complete this course.

Speakers

  • Jay Peters

    President and co-founder, Security Snapshot

    Speaker

2019 Investment Advisory Firm Element
Delta Ballroom B
10:30 AM - 11:20 AM

Description

Provided by Advisor Group - In this year’s Investment Advisory firm element session we will be covering Fiduciary Duty, SEC Exam Priorities, and some other important compliance topics. All affiliated persons are required to complete this course.

Speakers

  • Nigel Gilbert

    Deputy Chief Compliance Officer, IA Compliance, Advisor Group

    Speaker

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