Practice Foundation: Compliance

Are you considering opening your own fee only practice but concerned about compliance? Not certain what entity you should choose when opening your practice? This presentation is an overview of what compliance entails, covering topics such as the Form ADV, role of the Chief Compliance Officer, marketing advertising, needed books and records, trading policies, and other details of compliance. A brief synopsis of choosing your entity is also discussed. This is a great talk for advisors considering opening their own practice, but who are uncertain on how to handle compliance issues. It is also a good overview of compliance for employees of firms to help educate them on what compliance for their firm involves.