Roundtables


Regulation Best Interest Preparedness

Roundtable

Bank/Credit Union, wirehouse, national, regional and independent broker-dealers


TBA

 

Registration opening soon

The Regulation Best Interest Readiness Roundtable is our newest event designed to promote the sharing of best practices and strategies related to the new obligations under the SEC's Regulation Best Interest. This meeting will be a deeper dive into the specific tasks and tactics for Broker Dealers to ensure compliance with the June 30, 2019 deadline.

Attendees include executives from wirehouse, national, regional, and independent broker dealers, banks, and credit unions. We also include other industry experts, including representatives from product manufacturers, service providers, and other related firms.

Consistent with the roundtable concept, all participants afforded equal opportunity to participate in the discussion, without regard to their organization or role. Our roundtable meetings are structured so that all participants have an opportunity to gain insights from the discussion by contributing their perspective and experiences, as well as being able to ask questions of their peers. And thanks to the support of our sponsors, there is no cost to participate.

If would like to inquire about sponsorship opportunities, please contact Brian Harrison or Steve Saltzman by calling 704-243-4512.

Topics Discussed

  • Fiduciary/Best Interest Updates
  • NYDFS Reg 187 Preparedness and other state level fiduciary activities
  • SEC Regulation Best Interest
  • Understanding the potential risks, rewards and costs associated with the regulation
  • The Impact of SEC's Reg BI Rule on Investment Advisory
  • Other topics chosen by our meeting participants

Agenda

  • Day 1
    12:00 PM - 9:00 PM
    We start with a welcome lunch.
    General Session begins at 1:00 and will be followed by a reception and group dinner.
  • Day 2
    8:00 AM - 1:00 PM
    Breakfast and lunch will be served during General Session

Thanks to our Sponsors