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Understanding and Applying the CFP Board's New Code of Ethics and Standards of Conduct

November 20, 2019
1:00 PM - 2:00 PM Central

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November 20, 2019
1:00 PM - 2:00 PM Central

We will address the new Code of Ethics and Standards of Conduct, compare them to existing and pending requirements for investment adviser and broker-dealer representatives (including Reg BI), and discuss how to supervise compliance with the new Code and Standards.

Events Contact

Heather Stripling

T: 205.250.8332

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Speaker

Lori H. Patterson

T: 901.577.8241

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Baker Donelson is a national law firm with more than 650 attorneys and public policy advisors representing more than 30 practice areas to serve a wide range of legal needs. Clients receive knowledgeable guidance from experienced, multi-disciplined industry and client service teams, all seamlessly connected across 23 offices in Alabama, Florida, Georgia, Louisiana, Maryland, Mississippi, North Carolina, South Carolina, Tennessee, Texas, Virginia, and Washington, D.C.

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