Critical Compliance Issues for 2013
Speakers: John Huggard, JD, CFP, ChFC, CLU
Year: 2013
Body of Knowledge:
Product,
Regulatory
Competence: Skills |
Level: Broad |
Session Rating: 4.72
This session is designed to help registered representatives avoid falling into compliance traps. Huggard will discuss the five most critical issues and how agents/representatives can protect themselves from pitfalls. Hear real-life cases showing how situations were handled - and how they should have been handled to steer clear of issues with compliance.