Letters and Titles and Tags, OH MY!

Deborah A. Austin, CTCP, CFSA
Senior Vice President
Personal Fiduciary Risk Director
UNION BANK
San Diego, California


Janice J. Sackley
Principal
FIDUCIARY FORESIGHT, LLC
Portage, Michigan



Does your firm permit their use? Learn about the hidden dangers associated with the use of various industry designations. Some may carry unanticipated risks or unknowingly subject your firm and its employees to codes of ethics and standards of care that you are not equipped to manage. Come prepared to share your firm’s approach and learn about the pros and cons of allowing employees to use professional and educational designations.

Click here for speaker biography - Deborah A. Austin

Click here for speaker biography - Janice J. Sackley

Click here for PowerPoint presentation

Click here for other session material - State Farm backs away from CFP designation

Click here for other session material - Congress, regulators strike out on fiduciary titles

Click here for other session material - INTERNET LINKS TO HELPFUL MATERIAL

Click here for other session material - Part 2 of Form ADV

Click here for other session material - Regulatory Notice 07-43

Click here for other session material - FINRA SURVEY OF BROKER-DEALERS