Webinar: December 10, 2024 | 2PM ET
The incoming administration, led by President-elect Donald Trump, will take office in January 2025. As with any transition of power, the industry anticipates policy changes to follow.
While the policies of the previous Trump administration, as well as promises made during the recent election, the panel will provide insight into how regulation might evolve under the incoming administration. These include regulations established by the outgoing administration, the current economic climate, and the geopolitical implications of policy.
Against a backdrop of ongoing regulatory uncertainty, what changes should wealth firms and financial professionals anticipate, and how can they leverage the changes to grow their practice?
Join us on December 10, at 2 PM ET, where industry experts, veterans and analysts share an insightful discussion covering:
- How the newly formed Department of Government Efficiency will affect the working of federal agencies and regulators, and its wider impact on the wealth community
- How Reg BI will shape up under a regime inclined to push for more deregulation, considering major stakeholders in the industry agree on a need for client best interest
- Effect on Rollover Recommendation standards under the new regime
- DOL’s Fiduciary Rule, on pause since July, that will come under renewed limelight given the previous administration’s Presidential Memorandum (2018) to review the ruling.
Note: This webinar qualifies for 1 IACCP CE credit. Please visit the COMPLY website for more information about the IACCP program.
Meet Your Speakers
Tracey Longo, Washington EditorFinancial Advisor Magazine
Tracey Longo is Financial Advisor Magazine’s Washington Editor. She is a veteran journalist who began her career in the nation’s capital writing about personal finance and policy initiatives for American Banker, Kiplinger Personal Finance Magazine and the Washington Post. Longo is the author of three books, including Cliffnotes: Investing for the First Time and has taught journalism and media relations at American University’s School of Communication, Washington, DC.
Issa Hanna, Partner, Eversheds Sutherland
Issa Hanna helps broker-dealers, investment advisers, investment funds, insurance companies and insurance distributors in navigating the regulatory requirements applicable to their businesses.
His experience includes guiding clients through registration and compliance issues and representing them before federal and state regulators and self-regulatory organizations. Issa also has deep experience counseling and advising clients on the evolving standards of conduct in the financial services space, and closely follows developments relating to SEC Regulation Best Interest, the investment adviser fiduciary duty, and state securities and insurance laws imposing standards of conduct on broker-dealers, investment advisers and insurance distributors.
William Nelson, Director of Public Policy and 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.
Robert Dearman, CEO, Chief Innovation Officer, DCG Insight
Rob has a proven history of leveraging innovative technical architectures to solve intricate financial services challenges. Specializing in areas such as registered investment advisory, broker-dealer business, banking, and the application of technology to financial services, Rob has become a trusted name in the wealth industry. His expertise also extends to Cyber Security best practices, RIA M&A, RIA Networks, RIA Aggregators, FINRA/SEC/DOL regulation, electronic signature law, and Fiduciary Standards. Rob’s unique blend of technical acumen and industry know-how has propelled him to the forefront of financial innovation, enabling him to deliver cutting-edge solutions to clients and partners alike.
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.
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 Vice 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.