VIRTUAL ROUNDTABLE

Reg BI and DOL's PTE 2020-02: The Regulatory Future

Tuesday, June 22, 2021 at 1 pm – 3 pm ET

The Reg BI and DOL’s PTE 2020-02 Roundtable – The Regulatory Future is a by invitation only, online event for wealth industry leaders to discuss the future direction of Regulation Best Interest (Reg BI) and the industry’s progress to date in meeting the Care Obligation requirements.

Chip Kispert, managing partner at Beacon Strategies is a 20-year veteran of the broker-dealer and asset management marketplace. In collaboration with InvestorCOM, Chip will moderate a roundtable discussion to address broker-dealers’ questions and concerns related to Reg BI.

The 2-hour session will be highly interactive and provide attendees with an opportunity to hear perspectives from our panel of industry experts, discuss compliance challenges, and consider viable strategies and solutions in a collaborative virtual environment with industry peers.

Firms Signed Up to Attend

Advisor Group Logo
Commonwealth Financial Network Logo
Farmers Financial Solutions Logo
LPL Financial Logo
Oppenheimer Logo
Raymond James Logo
Regal Holdings Logo
SIFMA Logo
SIGMA Financial Logo
UBS Logo
USA Financial Securities Corp Logo
Wells Fargo Logo

Agenda

1:00 pm – 1:05 pm

1:05 pm – 1:40 pm

1:40 pm – 1:45 pm

1:45 pm – 2:25 pm

2:25 pm – 2:55 pm

2:55 pm – 3:00 pm

Welcome and Introductions

Wealth Regulation: 1 Year After the Reg BI Deadline

Break

The Care Obligation: Challenges and Solutions

Compliance Priorities over the Next 12 Months

Closing remarks

Session Leaders

Chip Kispert

Chip Kispert, Managing Director, Beacon Strategies LLC

Chip Kispert has spent his entire working life helping wealth firms innovate and increase their relevance. Beacon Strategies, LLC, the company he founded in 2006, provides next-generation thinking and perspective to enterprise wealth firms and the solution providers that support them. The knowledge gained from annual consulting projects, Beacon Roundtables, and research initiatives supply Chip with an abundance of timely insight, context, and functional expertise. This knowledge, coupled with a broad set of industry relationships, helps steer Chip’s customers toward achieving their strategic objectives.

Rob Dearman InvestorCOM US Board of Advisors

Rob Dearman, CEO and Chief Innovation Officer, DCG Insight

Rob Dearman is on a mission to help financial advisory firms build and grow the next generation of client-obsessed, fiduciary-focused, technology-accelerated strategies and platforms.

Rob’s experience includes co-founding the country’s third-largest independent broker-dealer network, National Planning Holdings, where he served as CIO and Head of Wealth Management. He was a designer and CTO for Curian Capital, the first digital TAMP, and led the Office of Strategic Initiatives for Jackson National. He served as a regulatory liaison and held a position on FINRA’s FinTech Innovation Council and contributed to the SEC Reg BI and CRS regulation, DOL Fiduciary rule, NAIC Model Suitability rule, and several NASAA state fiduciaries efforts.

Issa Hanna Eversheds Sutherland

Issa Hanna, Counsel, Eversheds Sutherland

With over a decade of experience in securities and insurance law, Issa Hanna helps broker-dealers, investment advisers, investment funds and insurance producers comply with the regulatory requirements applicable to their businesses. He 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 producers.

Ed Wegener Oyster Consulting LLC

Ed Wegener, Managing Director, Oyster Consulting LLC

Ed Wegener is an innovative compliance, risk management and supervisory controls expert with deep understanding of Federal Securities Laws and the rules of self-regulatory organizations, as well as technology optimization and risk mitigation. Prior to joining Oyster, Ed held several posts in FINRA, most recently as  Senior VP and Midwest Regional Director.  While there, he was responsible for the Region’s risk assessment, examination and investigation programs. Ed was a member of the team that developed FINRA’s risk-based examination program and he developed and managed FINRA’s first Digital Asset and Cybersecurity examination programs.

Parham Nasseri InvestorCOM

Parham Nasseri, VP Regulatory Strategy, InvestorCOM

Parham Nasseri has over a decade of wealth management and regulatory experience. He is the Chair of the Canadian Advocacy Council of CFA Societies Canada and previously held roles at the Ombudsman for Banking Services & Investments and the Brattle Group. Mr. Nasseri holds a CFA Charter and an MBA from Schulich School of Business.

Why Attend the Reg BI and DOL Virtual Roundtable

  • Learn from other wealth leaders, the issues they face and how they are working to solve them.
  • Get answers to your pressing questions from our panel of Reg BI experts.
  • Receive a summary of Roundtable insights for sharing with your team.

Learn More

If you are interested in attending our Roundtable or just want to learn more, please contact Travis Champion.