Webcast: The Dangers of Ignoring a Portfolios Uncompensated Risk

June 19, 2019

Recording     |     Slides

CPAs who provide investment advisory services and CPAs who assist clients with oversight and due diligence of their investment advisers need to know how to manage uncompensated risk. Uniform acts and Restatements of Trust Law clearly state the legal requirements for managing uncompensated risk.  Yet most advisers, including most CPAs breach this fiduciary duty simply because they don’t know about the applicable laws or how to implement them. This webcast has been designed to give CPAs the knowledge and ability to prudently navigate this previously overlooked area of fiduciary responsibility.      

Because clients and potential clients have their own fiduciary concerns, they cannot abide keeping a non-compliant adviser, and prudence requires switching their business to a compliant adviser. The webcast will help you to capture significant amounts of this newly orphaned business by becoming the prudent choice.  

Learning Objectives 

  • Learn the laws and regulations applicable to managing uncompensated risk.
  • Learn how the laws are applied to portfolio management.
  • Learn how uncompensated risk is prudently monitored and managed using a case study example of an actual retirement plan portfolio.
  • Learn how to use your newly gained knowledge for winning significant new business and increasing assets under management (AUM).