On-Demand Webinar: August 15, 2024
With consecutive court rulings putting a hold on the Department of Labor’s (DOL) Retirement Security rule, wealth industry professionals find themselves facing a period of uncertainty.
While the rule was broadly aligned with the requirements of Regulation Best Interest (Reg BI), the Advisers Act of 1940, along with PTE 2020-02, many wealth advisers face key decisions surrounding the evolution of their compliance programs.
Join our webinar on August 15 at 1 pm to hear industry leaders from Faegre Drinker, Alphastar Capital Management and Confluence provide an insightful dialogue on:
- DOL’s policies that still remain valid for wealth industry professionals.
- Best practices in ensuring wealth advisers remain compliant, despite regulatory uncertainty.
- Exploring industry leadership opportunities amidst the period of uncertainty
Meet Your Speakers
David Porteous, Partner, Faegre Drinker
David Porteous routinely counsels clients in the investment management, broker-dealer and financial services industries on regulatory matters including examinations, investigations and enforcement proceedings as well as complex civil and securities-related litigation. In addition, he assists clients in developing and implementing compliance and regulatory risk management plans and represents clients in complex civil and securities litigation.
Armin Sarabi, Chief Compliance Officer & General Counsel, Alphastar Capital Management
As Chief Compliance Officer, Armin is responsible for the oversight of Alphastar’s compliance program and establishing standards and implementing procedures to ensure that the compliance programs throughout Alphastar are effective and efficient in identifying, preventing, detecting and correcting noncompliance with applicable laws and regulations. As General Counsel, Armin is responsible for providing legal advice and counsel for all legal matters related to Alphastar’s general business.
Victoria Olson DeLucia, CRCP, Director – Institutional Engagement, Confluence
Victoria is an experienced Chief Compliance Officer and has served in that capacity and in other senior compliance roles for RIAs and broker-dealers over the course of her 30-year career. She has served as a Chief Compliance Officer to both investment advisers and broker-dealers, and also has extensive experience as a consultant. Her prior roles include serving as Broker-Dealer Chief Compliance Officer and AML Compliance Officer at Forethought Financial. Prior to Forethought, Victoria was Director of Compliance at Prudential Financial for five years.
Randy Barnes, Director of Product & Sales 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, 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 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.