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Information you need to meet regulatory compliance

US Regulations: Regulation Best Interest, PTE 2020-02

Reg BI and PTE 2020-02 Compliance Priorities
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
Making Compliant Rollover Recommendations
Making Compliant Rollover Recomendations
  • Carol McClarnon, Eversheds Sutherland
  • Ed Wegener, Managing Director, Oyster Consulting LLC
  • Jason Berkowitz, Chief Legal & Regulatory Affairs Officer, IRI
SEC and DOL Rollover Requirements
  • Carol McClarnon, Eversheds Sutherland
  • Issa Hanna, Eversheds Sutherland
Reg BI Exams - Reasonably Available Alternatives and Recordkeeping
  • Ed Wegener, Oyster Consulting
  • David Porteous, Faegre Drinker
Reg BI Exams - The Care Obligation
  • Ed Wegener, Oyster Consulting
  • David Porteous, Faegre Drinker
2021 Reg BI Exams and Variable Annuities
  • Matt Radgowski, Morningstar
  • Issa Hanna, Eversheds Sutherland
Electronic Disclosure SEC Regulations and Form CRS
  • Craig A. Foster, Thompson Hine
  • Joshua J. Hinderliter, Thompson Hine
Reg BI Day 2 Strategies & Implementation
  • Tom Selman, Scopus Financial Group
  • Scott Critchfield, Waddell & Reed
  • Ben Westin, Regal Financial Group
Reg BI & the Future of Compliant Investment Recommendations
  • Matt Radgowski, Morningstar
  • Peter J. Tepley, RumbergerKirk
Day 2 Industry Responses to Reg BI
  • Tom Selman, Scopus Financial Group
  • Daniel W. Latimore, Celent
  • Neil Sheehan, Celent
Reg BI what good faith compliance means
  • Tito Pombra, Adviser Compliance Consulting
Meeting Compliance Challenges during COVID-19
  • Tom Selman, Scopus Financial Group
  • Ben Westin, Regal Financial Group

Canadian Regulations: Client Focused Reforms

Client Focused Reforms & KYP Day 2 and Beyond
  • Nancy Mehrad, Registrant Law
  • Justitia Pak, BMO Investments
  • Richard Rizi, Worldsource Wealth Management Inc
Client Focused Reforms Implementing KYP
  • Rebecca Cowdery, BLG
  • Michael Taylor, BLG
  • Richard Wylie, Assante Wealth Management
Client Focused Reforms and the KYP Challenge
  • Greg Wiebe, Canada Life & Quadrus
  • Trevor Frost, Investors Group
  • Richard Roskies, AUM Law
Challenges & Best Practices for KYP Compliance
  • Richard Wylie, Assante Wealth Management
  • Ryan Grosz, Manulife Securities
  • Alice Lim, TD Wealth