SIFMA C&L Regional Seminar Charlotte

Event Summary: 2023 Charlotte Regional SIFMA C&L Regional Seminar

In the ever-evolving landscape of financial regulation and compliance, staying ahead of the curve is paramount for financial professionals and organizations alike. I attended the SIFMA C&L Regional Seminar in Charlotte this month where speakers and panelists discussed various crucial aspects. Here are a few key themes that emerged. Cybersecurity One of the primary areas […]

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Best Interest Principles: DOL Fiduciary Rule and SEC Guidance

Webinar: Oct 31, 2023 at 1 pm ET Is your firm keeping up with the latest regulatory expectations from the SEC and the Department of Labor? Join us for an insightful webinar that delves into the convergence of best interest principles across these regulatory bodies. On October 31, industry experts from Faegre Drinker, USA Financial [...] Read More
Why Rollovers are Increasing 2.5x

Why Rollovers Are Increasing by 2.5X

It is no secret that rollovers from employer-sponsored plans are one of the greatest sources of assets flowing into retirement accounts, and a leading growth opportunity for advisors.  A study by LIMRA’s Secure Retirement Institute found that IRA rollovers are expected to grow to more than $760 billion annually over the next five years. Moreover, Cerulli’s 2022 […]

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SEC Staff Bulletin - Reasonably Available Alternatives, Costs & Documentation

SEC Staff Bulletin: Reasonably Available Alternatives, Costs & Documentation

Richard L Chen and Issa Hanna from Eversheds Sutherland met with InvestorCOM to discuss the SEC’s Guidance around assessing reasonably available alternatives, the consideration of costs, and whether firms need to document the evaluation of reasonably available alternatives. == Parham Nasseri [PN]: Richard, there is a specific call out in the Staff Bulletin: Standards of […]

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CSA/CIRO Notice on Firms

CSA/CIRO Notice on Firms’ Conflicts of Interest Practices

The Canadian Securities Administrators (CSA) and the Canadian Investment Regulatory Organization (CIRO) published a joint Staff Notice (31-363) on August  3, 2023 summarizing their review of firms’ Conflicts of Interest practices as it relates to the Client Focused Reforms. Of the 172 firms the CSA, IIROC and the MFDA reviewed, no deficiencies relating to conflicts […]

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SIFMA C&L Regional Seminar NYC

SIFMA C&L Regional Seminars gather compliance and legal professionals working in the financial services industry to share best practices and guidance in the increasingly complex and changing regulatory and compliance arenas. New York Law School | October 19, 2023 Learn more and register. Meet Bill Donnell, VP Sales - Book now Read More
SIFMA C&L Regional Seminar Charlotte

SIFMA C&L Regional Seminar Charlotte

SIFMA C&L Regional Seminars gather compliance and legal professionals working in the financial services industry to share best practices and guidance in the increasingly complex and changing regulatory and compliance arenas. Ritz-Carlton, Charlotte, NC | September 11, 2023 Learn more and register. Meet Randy Barnes, Director of Product and Sales Engineering

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COMPLYConnect Conference & Expo

ComplyConnect Conference & Expo

Education. Training. Industry insight. It all comes together at the COMPLYConnect Conference and Expo. Take a front row seat to the latest news and trends shaping compliance, risk and governance, and hear direct from renowned industry leaders and regulatory authorities as they discuss the future of compliance and regulation. Experience unparalleled access to the resources […]

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Fearless Investing Summit

Fearless Investing Summit

Hosted by Nitrogen, the makers of Riskalyze, join 1,000+ wealth management professionals this fall at the #1 resort in Florida for three days of learning, connection, and growth. The Fearless Investing Summit is where financial advisors network with the fastest-growing firms in the country, learn how to scale their business, and join a community empowering […]

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