Surviving an Audit of Your Financial Planning Practice
Join us for a lively panel discussion about how financial planning professionals and wealth managers manage the trepidation and uncertainty of a State of California Department of Corporations audit process. Our Santa Cruz and Silicon Valley practitioner panel will talk about:
- communication methods of auditors;
- the process that used to identify and gather required information;
- the required access to complete the assessment;
- the process of communicating deficiencies;
- expected resolution steps or process;
- steps to prepare your practice; and
- ways to reduce stress during the process.
11 :30 a.m.: Networking and a light lunch will be served.
Noon: Panel Discussion
For UCSC Silicon Valley Extension students and alumni, prospective Personal Financial Planning students, and members of the Financial Planning Association of Silicon Valley. Limited seating. Registration required.
Sponsored by the UCSC Extension Personal Financial Planning Student Forum and the Financial Planning Association of Silicon Valley.
Wednesday, February 13 at 11:30am to 1:30pm
Silicon Valley Campus, Please check classroom at front desk.
3175 Bowers Avenue, Santa Clara, CA 95054