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Compliance Global Inc
2754 80th Avenue
New Hyde Park, NY 11040
(516) 900-5515

Compliance Global Inc
(516) 900-5515

Event Description


The Regulatory landscape is constantly evolving and it is critical to stay on top of the regulations. The Department of Labor’s Fiduciary rule is of significant importance and maybe a sign of what is to come for all types of accounts and Financial Management. Join us for a webinar on how your firm may be impacted due to Labor’s Fiduciary Rule and what you will need to do not only comply but effectively meet the demands of the rule as well as the demands of your clients.

We will discuss the summary of the details of the New Final Rule and what firms must do to comply. We will also discuss what might be next in the area of Fiduciary Responsibility in the Financial Industry and how that will affect the businesses that support and utilize the financial industry such as Accountants, Compliance and Legal. We will address how The US Securities and Exchange Commission and the Department of Labor have different outlooks on conflicts of interest. We will review the best practices of creating and reviewing the Best Interest Contract Exemption.

A discussion on best practices for conducting a due diligence to ensure those providing advice are Fiduciaries and how to determine if they are complying with the rule.

Why Should You Attend:

To gain an advantage in the ever evolving regulatory landscape of the financial services industry. The Department of Labor’s Fiduciary Rule will change the way financial firms need to provide service to their clients. This will affect virtually all areas at some level.

Areas Covered in this Webinar:

Be sure you understand the rule, the implications and way that firms will need to maintain systems in order to effectively meet the requirements of the current rule and learn how it may affect more than retirement plan fiduciary accounts in the future.

Learning Objectives:

The History of ‘‘Fiduciary’’; Conflict of Interest Rule—Retirement Investment Advice
The Department of Labor’s outline of the areas in Finance that will be affected by the Final Fiduciary Rule
A Comparison of the Definitions of Fiduciary
What is a Non-Fiduciary?
What it means to Comply with the Final Rule
The Best Interest Contract Exemption

Who Will Benefit:

Portfolio Managers
Client Service Managers
Operations staff
Financial Planners
Compliance Professionals

Speaker Profile:

Lisa M. Marsden, IACCP, is the president and founder of Coulter Strategic Services. Coulter Strategic Services provides financial advisors and consulting firms with compliance and project management services.

Prior to that, Ms. Marsden was the chief operating officer/chief compliance officer of Financial Trust Asset Management, Boca Raton, Florida. She has been in the financial services industry for over 25 years.

For more detail please click on this below link:

Toll Free: +1-844-746-4244
Tel: +1-516-900-5515

Fax: +1-516-900-5510

There may be many networking opportunities at the Fiduciary Rule 2016 - By Compliance Global Inc.. Find out more in the event details below.

All information in Events In America is deemed to be accurate at the time we add it, and we take steps to verify all details and update our records when new information is provided, but as people, events and circumstances change, we caution users to independently confirm all information. and Events In America LLC make no guarantee of accuracy and assume no liability for inaccurate information.

Event Details

Conference/Event Dates: 11/16/2016 - 11/16/2016
Conference/Event Hours: 1:00
Classification: B2B
Primary Industry: Banking-Money-Finance
Other Industries: Banking-Money-Finance, Business
Cost to Attend: Live Session for one participant Price: $165.00
Audience: Portfolio Managers
Client Service Managers
Operations staff
Financial Planners
Compliance Professionals
Show Owner:Compliance Global Inc.
Sponsorship: Yes
Sponsorship Details: Compliance Global Inc.

Booth Details

Booth Size Booth Cost   Available Amenities
No Exhibiting   Electricity: n/a
  Water: n/a
  Generator: n/a
  Marketing Vehicles Allowed: n/a
Other Booth Sizes Available: n/a

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