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Upcoming Events

Gifting to Children and Grandchildren

If you want to start the young people in your high net worth family on the right track toward financial security, there is no better way than through a short-term gifting program that leverages time. Join us at this roundtable to discuss Julie Jason’s “MarketMath™” program.


For Attorneys: Questions you may be asked by your clients about their financial advisers

  • Questions you might be asked as a trusted adviser about the new Form CRS
  • New SEC regulations that govern financial advisers adopted June 2019
  • Wealth Managers, Brokers, "Advisers" - What's in a name?
  • Do you use "investment counsel" in your documents? Are you applying the 1940 Act definition?
  • Dual Registrants (most financial advisers work for dual registrants)
  • Broker-dealer affiliates (conflicts of interest)
  • What is a Form CRS Relationship Summary? (New disclosure document to be delivered by financial advisers to their existing and potential clients starting May/June 2020)
  • What is a "Conversation Starter"? (New mandated questions to ask existing and potential clients, including disclosure of conflicts of interest and disciplinary records)
  • Recognizing conflicts of interest and what to do about them
  • Regulation Best interest (Potentially displaces "suitability" standard)
  • New Standards of Care depend on capacity of financial adviser
  • Best interest for brokers
  • Best interest and fiduciary duty for investment advisers
  • Dual-registrants-capacity dependent

Pricing, including lunch & materials: $45 (Members); $70 (Non-Members) 
Reduced Rate FCBA Members: *$35 (Legal Administrators, Paralegals, Law Students & Law Clerks)


Women and Money for Wives, Widows and Ex-Wives

Are you in the dark when it comes to your family finances?  Do you need to start fresh after a divorce or are you feeling uncertain that you will have enough money for retirement?  If so, you are not alone.  An alarming majority (seven out of 10 women) say financial information is hard to understand.  Perhaps this is one of the reasons why women prefer to learn in a "non-intimidating environment with other women” (The Allianz Women, Money, and Power Study: Empowered and Underserved).  Take this opportunity to meet with Julie Jason, a respected money manager, whose educational programs, books and syndicated column help empower women to make wise decisions.


Financial considerations for your estate plan

Estate planning is not just for the ultra-wealthy. Are you aware of estate tax saving techniques and resources?  How do finance and estate planning documents dovetail? What happens if you have no will? What happens to your retirement plans? How will your assets flow to your heirs?  What happens if you are incapacitated?  What can you do to make sure you have the right team in place before an unexpected incapacity or a death?  


Couples Workshop: How to Coordinate Your Financial and Estate Plans

If you are married, you need to be alert to a common estate planning pitfall: lack of coordination between your estate plan and your investment plan. A costly estate plan intended to save taxes and benefit heirs can be hampered if the assets don’t flow properly as planned. We will discuss how to help both spouses understand what will happen to their assets when one of them passes away. This conversation will be especially helpful to couples who need tax planning because their assets are large enough to trigger estate taxes. After attending this roundtable, you’ll be better able to ensure that your estate planning and investment planning are in sync.


Smart ways to plan for retirement account withdrawals after age 70

If you are approaching age 70, do you know how to take required minimum distributions (RMDs) from your 401(k), IRA or other retirement plans?  If you have multiple 401(k)s IRAs, brokerage accounts or multiple financial professionals, as many high net worth people do, you’ll need to feel comfortable with the plan you’ve created to manage RMDs, potentially through decades of retirement.  How should those accounts be invested?  What’s the plan?  Importantly, the plan must accommodate multiple objectives (current income plus capital appreciation) and goals (lifelong income; legacy), and it has to fit you – not anyone else.  


Gifting to children and grandchildren; Giving to the next generation, educating and mentoring young people

If you want to start the young people in your family on the right track toward financial security, there is no better way than mentoring them through real-life experiences.  One way is to set up a tax-free gifting program that leverages time and creates an attitude of saving and investing. Another is to discuss how financial and estate plans need to be coordinated. Learn the importance of  talking with children about not only their futures, but also yours.  For the charitably inclined, we will also discuss donor advised funds and private foundations.  This session will help you bring younger generations into a conversation that will help prepare them and you as the future unfolds.