Webinar: June 25, 2024

This is the second webinar of InvestorCOM’s 3-part series on the DOL rule. The first in the series provided a high-level overview of the Retirement Security Rule with a panel of experts. This webinar will focus on the revisions to PTE 2020-02 and how firms can align with the new version by the September deadline with InvestorCOM’s RolloverAnalyzer solution.

FINRA’s 2023 risk monitoring report, the SEC’s Risk Alert on Reg BI and 2023 Exam Priorities are three recent regulatory reports that call out deficiencies and a continued focus on Reg BI’s Care Obligation.

Watch this on-demand webinar to hear industry experts from Investment Adviser Association, Oyster Consulting and DFPG Investments discuss the practical implications on firms.

William Nelson, Associate General Counsel, Investment Adviser Association

William joined the IAA in 2021 after serving as assistant general counsel at CFP Board, where he was responsible for assisting with the development of their Code of Ethics and Standards of Conduct, Sanction Guidelines, Fitness Standards, and Procedural Rules. Prior to joining CFP Board, William served as chief compliance officer for Mercer Advisors, where he redesigned the firm’s entire compliance program, served as legal advisor to Mercer Advisors’ Investment and ERISA Committees, was a subject matter expert on legal and regulatory compliance.

Ed Wegener, Managing Director, Oyster Consulting LLC

Ed Wegener is an innovative compliance, risk management and supervisory controls expert with deep understanding of Federal Securities Laws and the rules of self-regulatory organizations, as well as technology optimization and risk mitigation. Prior to joining Oyster, Ed held several posts in FINRA, most recently as  Senior VP and Midwest Regional Director.  While there, he was responsible for the Region’s risk assessment, examination and investigation programs. Ed was a member of the team that developed FINRA’s risk-based examination program and he developed and managed FINRA’s first Digital Asset and Cybersecurity examination programs.

Craig Watanabe, Director of IA Compliance, DFPG Investments

Craig Watanabe has been a Financial Adviser and the Director of IA Compliance at DFPG Investments, Inc. since 2018. Mr. Watanabe entered the securities industry in 1983 and has been a successful financial planner, Branch Manager, Operations Manager, Chief Compliance Officer and Chief Operating Officer. He has broker-dealer and investment adviser compliance experience covering retail brokerage, market making, research, investment banking. insurance, commodities, retail investment advisory and ERISA plans. Mr. Watanabe is responsible for the investment adviser compliance program. He served on the FINRA District 2 Committee from 2008-11 and was Chairman of the Committee in 2011. He also served six years on the NSCP Board of Directors and was Chairman of the Board in 2013.

Randy Barnes, Director of Product Engineering, InvestorCOM

Randy Barnes has spent the majority of his professional career in the financial services technology space. With over 25 years of experience, Randy has managed and developed technology for large-scale enterprise clients as well as smaller broker-dealers and registered investment advisor firms. Randy’s professional passion is helping the customer and bringing a customer-centric focus to everything.

Parham Nasseri, President – Regulatory Strategy, InvestorCOM

Parham Nasseri has spent his career translating complex regulatory requirements into technology solutions that improve investor and advisor outcomes. He has over 15 years of regulatory and wealth management experience, including senior roles in regulatory analytics, digital transformation, and investment analytics.

Parham currently serves as President, Product & Regulatory Strategy at InvestorCOM, a leading software solutions provider for the financial services industry. He serves on several advisory boards including Ontario Securities Commission’s Investor Advisory Panel, CFA Societies’ Canadian Advocacy Council, The Canadian RegTech Association, and Junior Achievements of Central Ontario. He is also the host of the Wealth Compliance Leaders series.