Overview :
The Regulatory landscape is constantly evolving and it is critical to stay on top of the regulations. The Department of Labor’s Fiduciary rule is of significant importance and maybe a sign of what is to come for all types of accounts and Financial Management. Join us for a webinar on how your firm may be impacted due to Labor’s Fiduciary Rule and what you will need to do not only comply but effectively meet the demands of the rule as well as the demands of your clients.
We will discuss the summary of the details of the New Final Rule and what firms must do to comply. We will also discuss what might be next in the area of Fiduciary Responsibility in the Financial Industry and how that will affect the businesses that support and utilize the financial industry such as Accountants, Compliance and Legal. We will address how The US Securities and Exchange Commission and the Department of Labor have different outlooks on conflicts of interest. We will review the best practices of creating and reviewing the Best Interest Contract Exemption.
A discussion on best practices for conducting a due diligence to ensure those providing advice are Fiduciaries and how to determine if they are complying with the rule.
Why Should You Attend :
To gain an advantage in the ever evolving regulatory landscape of the financial services industry. The Department of Labor’s Fiduciary Rule will change the way financial firms need to provide service to their clients. This will affect virtually all areas at some level.
Areas Covered in this Webinar :
Be sure you understand the rule, the implications and way that firms will need to maintain systems in order to effectively meet the requirements of the current rule and learn how it may affect more than retirement plan fiduciary accounts in the future.
Learning Objectives :
The History of ‘‘Fiduciary’’; Conflict of Interest Rule—Retirement Investment Advice
The Department of Labor’s outline of the areas in Finance that will be affected by the Final Fiduciary Rule
A Comparison of the Definitions of Fiduciary
What is a Non-Fiduciary?
What it means to Comply with the Final Rule
The Best Interest Contract Exemption
Who Will Benefit :
Portfolio Managers
Traders
Client Service Managers
Operations staff
Financial Planners
Attorneys
CPAs
Compliance Professionals
For more information, please visit : https://www.complianceglobal.us/product/700604/LisaMMarsden/fiduciary-rule-2016/1
Email: support@complianceglobal.us
Toll Free: +1-844-746-4244
Tel: +1-516-900-5515
Level:
Intermediate
Speaker Profile :
Lisa M. Marsden, IACCP, is the president and founder of Coulter Strategic Services. Coulter Strategic Services provides financial advisors and consulting firms with compliance and project management services.
Prior to that, Ms. Marsden was the chief operating officer/chief compliance officer of Financial Trust Asset Management, Boca Raton, Florida. She has been in the financial services industry for over 25 years.
Ms. Marsden has a broad array of talent, knowledge and an entrepreneurial approach in the area of regulatory compliance and business operations.
Ms. Marsden has a degree in computer programming from Keiser University, and holds the Investment Advisor Certified Compliance Professional Designation and Claritas ® Investment Certificate. She was the chief compliance officer/chief technology officer at Steinberg Global Asset Management, Boca Raton Florida and also held positions in the banking trust industry at Midlantic National Bank and Trust, Comerica Bank & Trust and Barnett Bank Asset Management.
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