How To Keep Clean - Don't Do What They Did!

Ethics 2015

Wednesday, November 11th, 2015
9:00 a.m. - 12:00 p.m.
701 Building - 2nd floor conference center

SPACE IS LIMITED!

3 hours of Insurance CE Ethics Credit for MN (pending)
2 hours of CFP Ethics Credit (pending) 

AGENDA

9:00 - 11:00 a.m.
Ethics Part I: How to Keep Clean - Don't Do What They Did!
By Dan May, CFP®, AdvisorNet Financial 
Steve Finkelstein, CFP®, Sterling Retirement Resources

2 hours Company Sponsored Ethics CE for MN + CFP Ethics credit (pending)

Most of us hold a variety of licenses and registrations (insurance; securities; investment adviser; professional designations)  and live in a world of  continuing education, compliance and regulation from numerous entities: SEC; Finra; Insurance Commissioners; State Securities regulators; broker/dealer; OSJ; RIA; insurance carriers; professional designation boards. 

For the honest and ethical agent/adviser/registered representative striving to do the right thing for their clients, it at times can feel overwhelming to keep up with it all while running your practice and advising your clients. This course will focus on the key components on the financial planning and money management side, including Variable Annuities, of keeping current and compliant while protecting yourself and your firm. We will also spend time on some of the gray areas, how to address them, and what current industry practices are.

11:00 a.m. - 12:00 p.m.
Ethics Part II: How to Keep Clean - Don't Do What They Did!
By Joe Larkin, CLU, ChFC, AdvisorNet Financial 

1 hour Company Sponsored Ethics CE for MN (pending)

This course will focus on the key components  on the insurance side of keeping current and compliant while protecting yourself and your firm. We will also spend time on some of the gray areas, how to address them, and what current industry practices are.

RSVP by Friday, November 6th!