Local and National Financial Planning Events

RIA Compliance Conference 
Tuesday, October 25, 2016

It’s no secret that we are currently operating in an environment of heighted regulatory scrutiny.  Despite predictions of a “slow year” in terms of new rules, 2016 has been anything but slow.  The SEC recently finalized the revisions to Form ADV and the Advisers Act rules; there is a proposed rule for Business Continuity Planning on the table, and of course we have the DOL Fiduciary rule, which is expected to have a tremendous effect on our industry.  In fact it is difficult to imagine an adviser that is not impacted by this rule.  Have you finalized your plans for complying with it?  Time is running out – April 2017 is just around the corner.

Professional Compliance Assistance, Inc. (“PCA”) is hosting a one-day compliance conference in the Cobb Galleria area on Tuesday, October 25th.  Compliance training is essential to help your firm succeed in terms of both existing rules and regulations as well as all the new ones.   In addition to learning from our excellent speaker panels, you also have the opportunity to interact with your peers.  This can be invaluable when you are looking for ideas about how to handle situations that are unique to your business. 

Five hours of continuing education credit for CFP® professionals!!

For the full brochure and to register, please visit our website: www.pcompliance.com.


FPA of North Alabama Regional Conference:

2016 Symposium
November 1, 2016

The Grand Bohemian Hotel
2655 Lane Park Road
Birmingham, AL 35223
Valet parking will be available at the hotel, and will be covered as part of your registration
Agenda (Tentative as of 08/18/2016):
7:30 – 8:00 Breakfast
8:00 – 8:10 Welcome
8:10 – 9:00 Advising Clients through the Toughest Times of Life – Amy Florian (1 Hour)
9:00 – 9:50 The Wise Guide: As Your Client Ages – Amy Florian (1 Hour)
9:50 – 10:00 Break
10:00 – 10:50 A Changing Global Economy – Matt McCall (1 hr. CFP CE approved)
10:50 – 11:40 Major Themes that Will Shape the World in the Next Decade – Matt McCall
11:40 – 12:00 Break
12:00 – 1:00 Partner Spotlight and Chapter Updates (Working Lunch)
1:00 – 1:50 Fixed Income Spotlight – Jeffrey Rosenberg (1 Hour)
1:50 – 2:00 Break
2:00 – 2:50 Amanda Senn, Alabama Securities Commission (1 Hour)
2:50 – 3:00 Break
3:00 – 5:00 Ethics (2 Hour Required Ethics for CFP®)


Private Wealth Southeast Forum

December 1, 2016

This meeting brings together the leading family offices, private banks, and HNW RIAs from the region for a closed door peer environment. The targeted content provides the most updated education on equity markets, hedge funds, private equity, real estate, metals, succession planning, tax and structuring, private placement life insurance and mutual fund investing.

Use link below to register:



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Dallas – Nov 16 & 17, 2016


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