RESOURCE CENTER
Ready to learn more?
Guest Podcasts
Are you a wealth compliance leader?
Learn more about the series and how you can be featured in a future episode.
US Regulations: Regulation Best Interest, PTE 2020-02
Making Compliant Rollover Recomendations
- Carol McClarnon, Eversheds Sutherland
- Ed Wegener, Managing Director, Oyster Consulting LLC
- Jason Berkowitz, Chief Legal & Regulatory Affairs Officer, IRI
- Jim Sommerfield, Wintrust Wealth Management
- Issa Hanna, Eversheds Sutherland
- Richard Chen, Richard L Chen PLLC
Reg BI and PTE 2020-02 Compliance Priorities
- Carol McClarnon, ERISA Partner, Eversheds Sutherland
- Issa Hanna, Partner, Eversheds Sutherland
- John Carl, President, Retirement Learning Center
- David Porteous, Faegre Drinker
- Mitchel C. Pahl, Katten
- Craig Watanabe, DFPG Investments
- Ed Wegener, Oyster Consulting
- Tom Selman, Scopus Financial Group
- Ben Westin, Regal Financial Group
- Issa Hanna, Eversheds Sutherland
- Ed Wegener, Oyster Consulting
- David Porteous, Faegre Drinker
- Matt Radgowski, Morningstar
- Issa Hanna, Eversheds Sutherland
- Craig A. Foster, Thompson Hine
- Joshua J. Hinderliter, Thompson Hine
- Tom Selman, Scopus Financial Group
- Scott Critchfield, Waddell & Reed
- Ben Westin, Regal Financial Group
- Matt Radgowski, Morningstar
- Peter J. Tepley, RumbergerKirk
- Tom Selman, Scopus Financial Group
- Daniel W. Latimore, Celent
- Neil Sheehan, Celent
- Craig Watanabe, DFPG Investments, LLC
- David Porteous, Faegre Drinker
- Joshua J. Waldbeser, Faegre Drinker
- Mitchell Atkins, FirstMark Regulatory Solutions
- Rick Ohlrich, RFG Advisory
- Rob Dearman, DCG Insight
- Tom Selman, Scopus Financial Group
- Jeffrey Wilk, Oyster Consulting LLC
- Tom Selman, Scopus Financial Group
- Ben Westin, Regal Financial Group
Canadian Regulations: Client Focused Reforms
- Nancy Mehrad, Registrant Law
- Justitia Pak, BMO Investments
- Richard Rizi, Worldsource Wealth Management Inc
- Rebecca Cowdery, BLG
- Michael Taylor, BLG
- Richard Wylie, Assante Wealth Management
- Alexandra Betancourt Gil, Desjardins Financial Security Investment
- Betty Tien, Deloitte Canada
- Richard Wylie, Assante Wealth Management
- Ryan Grosz, Manulife Securities
- Alice Lim, TD Wealth
- Greg Wiebe, Canada Life & Quadrus
- Trevor Frost, Investors Group
- Richard Roskies, AUM Law