AGENDA North Carolina Investment Adviser Regulation Workshop 9:00 am 4:00 pm – Presented by NC Securities Division 9:00 am 9:30 am Registration – Coffee and Snacks 9:30 am 9:40 am Welcome – 9:45 am 11:30 Investment Adviser Fiduciary Duty and Best Practices – Presented by: Elizabeth Guido ChFC®, CLU®, CFE 11:30 Noon Investor Education – Presented by: John Maron Noon 1:00 PM Lunch – 1:00 pm 3:30 pm Investment Adviser Fiduciary Duty and Best Practices – (continued) and Division Examination Program Presented by: Elizabeth Guido ChFC®, CLU®, CFE 3:30 pm 4:00 pm Question and Answer Session/Wrap-Up – Additional: Please take a minute and complete an evaluation
AGENDA North Carolina Investment Adviser Regulation Workshop 9:00 am – 4:00 pm Presented by NC Securities Division 9:00 am – 9:30 am Registration Coffee and Snacks 9:30 am – 9:40 am Welcome 9:45 am – 11:30 Investment Adviser Fiduciary Duty and Best Practices Presented by: Elizabeth Guido ChFC®, CLU®, CFE 11:30 – Noon Investor Education Presented by: John Maron Noon – 1:00 PM Lunch 1:00 pm – 3:30 pm Investment Adviser Fiduciary Duty and Best Practices (continued) and Division Examination Program Presented by: Elizabeth Guido ChFC®, CLU®, CFE 3:30 pm – 4:00 pm Question and Answer Session/Wrap-Up Additional: Please take a minute and complete an evaluation
Agenda_With_Contact_Info_2016.DOCX