The DOL Fiduciary Rule might be held up in court for the foreseeable future, however, that doesn’t mean firms are off the hook when it comes to their fiduciary duty. And whether you’re a broker-dealer navigating Regulation Best Interest or an Investment Adviser abiding by the Duty of Care, those regulatory requirements – and the documentation needed to substantiate compliance practices – have proven to be a focus area for compliance examinations across the board.
To help firms navigate the evolving requirements and regulatory perspectives, Wade Quinn, COMPLY Vice President, Solutions Consulting, will sit down with Parham Nasseri, InvestorCOM President, to discuss the shifts in fiduciary obligation over the past few years and best practices clients have implemented to navigate change and mitigate potential enforcement. Discover the benchmarks of a successful fiduciary compliance program as well as how fellow compliance professionals are leveraging technology to maintain compliance amid ongoing regulatory developments.
During this webinar, we’ll discuss:
- Fiduciary Duty of Care and the SEC’s Risk Alert
- Department of Labor (DOL) regulatory initiatives
- Update on the DOL Fiduciary Rule
- Observations and trends
- The benefits of centralizing fiduciary compliance
- COMPLY Fiduciary Suite demonstration
Please note: No continuing education credits are being offered for this webinar.
Register at the button above!
