Part 3: Regulatory Challenges for Broker-Dealers with the DOL Fiduciary Rule

Date: 
June 01, 2017
Type: 
Webcast
Division: 
Broker-Dealer

Please join ACA for a third webcast workshop designed to assist compliance professionals of broker-dealers in dealing with the potential regulatory challenges of meeting the new Department of Labor Fiduciary Rule. Our industry-knowledgeable panelists from ACA, Arnold & Porter Kaye Scholer LLP, and Raymond James Financial, Inc., will discuss a range of topics associated with the rule.

The webcast will explore the impact of the DOL Fiduciary Rule on the following areas:

  • How we got to this point
  • What needs to be done during the transition period beginning June 9
  • What does the future hold for the rule and how should financial institutions respond to the uncertainty?

There will be time allotted to answer specific questions and respond to comments from webcast attendees.

Speakers


Thomas Grygiel
Thomas Grygiel
Principal Consultant
ACA Compliance Group
freeman_david
David Freeman
Partner
Arnold & Porter Kaye Scholer LLP
pelley_douglas
Douglas Pelley
Counsel
Arnold & Porter Kaye Scholer LLP

Marc Cahn
Associate General Counsel - ERISA
Raymond James Financial, Inc.

Please contact Dee Stafford with any questions.