ASPPA Webcast: Ethics Case Studies on Circular 230 Provisions

By ASPPA Net Staff • January 01, 2018 • 0 Comments
Wednesday, September 12, 2018

23:40PM ET

Speaker: Kizzy M. Gaul, Esq., CPC, QPA, QKA, TGPC, Manager of Regulatory Supervision, Prudential Retirement

Experience Level for Attendees: Basic

IRS Program Number: CZTXU-E-00855-18-O

Webcast Outline: Coming Soon.


The webcast starts with an overview of ASPPA’s Code of Professional Conduct and how it aligns with key Circular 230 provisions. The majority of the program is a review of case studies applying the provisions, including the application to service providers operating in a 3(16) fiduciary capacity.

Key Takeaways:
1. Apply ASPPA’s Code of Professional Conduct to your work
2. Recognize when Circular 230 may apply
3. Consider ethics best practices when operating as a 3(16) fiduciary

Registration Deadlines: 
Live: 9/12/2018
On-Demand: 9/12/2019

CE Credit: 2 ARA Ethics, 2 ERPA Ethics, 2 JBEA Ethics, 2 JBEA Core

About the Speaker

Kizzy M. Gaul, JD, CPC, QPA, QKA, TGPC, has over ten years of plan design and compliance consulting experience. She is currently the chair of the ASPPA Government Affairs subcommittee for Reporting and Disclosure and a member of ASPPA’s Leadership Council.

Individual Viewer Additional Viewers 
ASPPA Member: $115 ASPPA Member: $45
Non-Member: $190 Non-Member: $70


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General Information

Cancellation Policy:

All webcasts are non-refundable. If you have registered for the live webcast and are unable to attend, please email and request to transfer your registration to the recorded version. This request must be made before the live webcast takes place.

Statements and materials presented on American Retirement Association webcasts are solely the opinions of the speakers and do not represent the opinion or the position of the American Retirement Association. The American Retirement Association assumes no responsibility for the content and materials presented by speakers during the webcast.


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