RESOURCE CENTER

• Carol McClarnon, Eversheds Sutherland
• Ed Wegener, Managing Director, Oyster Consulting LLC
• Jason Berkowitz, Chief Legal & Regulatory Affairs Officer, IRI

SEC Guidance on Reasonably Available Alternatives

• Jim Sommerfield, Wintrust Wealth Management
• Issa Hanna, Eversheds Sutherland
• Richard Chen, Richard L Chen PLLC

Reg BI Exams: The Care Obligation

• Ed Wegener, Oyster Consulting
• David Porteous, Faegre Drinker

• Carol McClarnon, ERISA Partner, Eversheds Sutherland
• Issa Hanna, Partner, Eversheds Sutherland
• John Carl, President, Retirement Learning Center

DOL’s Fiduciary and Retrospective Review Expectations

• David Porteous, Faegre Drinker
• Mitchel C. Pahl, Katten
• Craig Watanabe, DFPG Investments
• Ed Wegener, Oyster Consulting

Reg BI Exams and Enforcement

• Tom Selman, Scopus Financial Group
• Ben Westin, Regal Financial Group
• Issa Hanna, Eversheds Sutherland

Reg BI Exams: Reasonably Available Alternatives & Record-keeping

• Ed Wegener, Oyster Consulting
• David Porteous, Faegre Drinker

Reg BI Exams: The Care Obligation

• Ed Wegener, Oyster Consulting
• David Porteous, Faegre Drinker

Get Ready: 2021 Reg BI Exams and Variable Annuities

• Matt Radgowski, Morningstar
• Issa Hanna, Eversheds Sutherland

Electronic Disclosure: SEC Regulations and the Form CRS Business Case

• Craig A. Foster, Thompson Hine
• Joshua J. Hinderliter, Thompson Hine

Reg BI Day 2: Strategies and Implementation Considerations

• Tom Selman, Scopus Financial Group
• Scott Critchfield, Waddell & Reed
• Ben Westin, Regal Financial Group

Reg BI and the Future of Compliant Investment Recommendations

• Matt Radgowski, Morningstar
• Peter J. Tepley, RumbergerKirk

Up and Running: Day 2 Industry Responses to Reg BI

• Tom Selman, Scopus Financial Group
• Daniel W. Latimore, Celent
• Neil Sheehan, Celent

Reg BI Enforcement, PTE 2020-02 Day 2 and What’s Next

• Craig Watanabe, DFPG Investments, LLC
• David Porteous, Faegre Drinker
• Joshua J. Waldbeser, Faegre Drinker
• Mitchell Atkins, FirstMark Regulatory Solutions

PTE 2020-02: Regulatory Compliance, Technology and Growth Opportunities

• Rick Ohlrich, RFG Advisory
• Rob Dearman, DCG Insight
• Tom Selman, Scopus Financial Group
• Jeffrey Wilk, Oyster Consulting LLC

Strategies for Meeting Remote Compliance Challenges during COVID-19 and Beyond

• Tom Selman, Scopus Financial Group
• Ben Westin, Regal Financial Group

Reg BI – What Good Faith Compliance Means

• Tito Pombra, Adviser Compliance Consulting

Reg BI Case Studies

• Issa Hanna, Eversheds Sutherland
• Brian Rubin, Eversheds Sutherland

• Nancy Mehrad, Registrant Law
• Justitia Pak, BMO Investments
• Richard Rizi, Worldsource Wealth Management Inc

• Dave Carr-Pries, InvestorCOM

• 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