Schedule of Events

September 10 Lunch Meeting



  • Tuesday Sep 10, 2019
  • Start Time: 11:30AM
  • End Time: 1:00PM
  • Austin Country Club

Please join us for our FPA Austin September Lunch Meeting


Tuesday, September 10, 2019
11:30 – 1:00 pm
Austin Country Club

Topic: Structured Products: A Fiduciary Guide

Speaker: Rick Roche, CAIA, Managing Director, Little Harbor Advisors, LLC 

 Rick Roche, CAIA (Bio)

Tariffs, trade wars and inverted yield curves have combined to cloud the economic outlook for 2H 2019. Stocks have backed off their year highs and yet fixed income offers miserly returns. On October 1, 2019, the CFP Board’s newly-revised Code of Ethics and Standards of Conduct take effect.

The “cornerstone” of the new Standards of Conduct is the expanded obligation to act as a fiduciary at all times when providing financial advice. This is a significant change from prior Standard which required a CFP to act as a fiduciary only when providing financial planning. In Section A of the ‘Code and Standards’, the very first of 15 Duties that CFP professionals owe to clients is a Fiduciary Duty.   

Because of CFPs’ enhanced fiduciary requirements, Little Harbor Advisors’ 2019 CE Program curriculum places special emphasis on a fiduciary’s obligations when considering insured retirement solutions in general and complex, opaque structured products, like medium-term and principal protected notes in particular.

This Program will provide an insider’s view into the complex and opaque world of medium-term and principal protected notes. It will assist CFPs in satisfying the “Duty of Care” when assessing insured retirement solutions and individual supplemental insurance retirement plans.

Principal protected notes and funds are an attractive alternative investment that can offer both a guaranteed return of principal (subject to the credit worthiness of issuer) and an equity participation component.

Registration Fees:

  • Lunch reservations are required by all. If you do not receive an email confirmation when you register, your registration did not go through. Please try to register again or contact admin@austinfpa.org.
  • Austin FPA Members and Partners- Free
  • Guests – $60
  • Those who show up without a reservation will be placed on a wait list at the door and seated as space becomes available.
  • FPA is committed to pay for every reservation made. If you cannot keep your commitment, please email admin@austinfpa.org to cancel by Thursday, September 5th. Cancellations after the deadline and no-shows will be billed $50 unless we can fill your place. Reservations are not transferable and much be filled with a member or paid guest.

 

Continuing Education: 1 CE approved