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PANC 2020: Conflict Ahead: Regulation Best Interest, Insurance Standards, New Fiduciary & State Rules,

Tue, Sep 15, 2020 · 12:30 PM · Eastern Time (US & Canada)
About This Webinar

Under President Donald Trump, the federal government is busy implementing the Securities and Exchange Commission (SEC)’s Regulation Best Interest (Reg BI). At the same time, more progressive states are implementing even stricter conflict of interest rules that in some cases directly conflict with the requirements of Reg BI. How will the regulatory cookie crumble? With Reg BI, effective since June 30, what can we learn from compliance reviews that have already occurred?

Categories:
BUSINESS & FINANCE
Who can view: Everyone
Webinar Price: Free
Featured Presenters
Webinar hosting presenter
Principal, Groom Law Group, Chartered
David Kaleda’s broad range of experience includes handling fiduciary matters impacting plan sponsors, investment and other fiduciary committees, investment managers/advisors, recordkeepers, broker-dealers, banks, and other financial services firms. He advises clients on the avoidance and resolution of prohibited transaction issues, the structuring of alternative investment funds (including plan asset funds, real estate operating companies, and venture capital operating companies), and day-to-day compliance issues arising under ERISA and the Internal Revenue Code in the conduct of their businesses. He advises a number of firms on compliance with Department of Labor regulation, helping them to get related guidance and exemptions from the Department. David is a frequent speaker and author on a range of employee benefits-related topics. He authors the bi-monthly “Compliance Consult” column for PlanAdviser magazine and is a regular contributor of articles to The Investment Lawyer. His articles have also appeared in Employee Benefit News, Employee Benefit Adviser, Plan Sponsor Magazine, Employee Benefits Law Journal, Plan Consultant, and others. He has presented on ERISA-related topics for a number of organizations and has been quoted in numerous publications including On Wall Street, PlanSponsor Magazine, PlanAdviser Magazine, and Financial Adviser. David joined Groom in February of 2013 while serving on the Department of Labor’s ERISA Advisory Council, after working as an ERISA partner of a large law firm and prior to that as an ERISA compliance consultant and in-house ERISA attorney for a financial services firm.
Webinar hosting presenter
Chief Compliance Officer/Chief Legal Officer, USA Financial
Webinar hosting presenter
Chief Compliance Officer, Bukaty Companies Financial Services
Phil Troyer has served as Chief Compliance Officer for Resources Investment Advisors, LLC (a OneDigital company) since 2013. During his tenure, Resources’ assets under management have grown from $2 billion to over $50 billion. Prior to joining Resources, Phil managed his own ERISA law practice and served as General Counsel for NRP Financial and NRP Advisors, a broker-dealer and investment adviser owned by National Retirement Partners. Before entering the securities industry, he served as Associate General Counsel for a medical malpractice insurance company. He has also worked as a plaintiff’s attorney, representing clients in insurance bad faith and contract disputes. In fact, he is currently litigating a claim against the National Futures Association – the self-regulatory organization for the commodities industry – in a case pending in the 7th Circuit Court of Appeals. Phil draws upon his 25+ years of diverse legal experience to develop proactive solutions to assist the firm, its advisers, and their clients. Phil obtained a BS in political science from DePauw University and worked on Capitol Hill before obtaining his J.D. from Indiana University. He holds FINRA Series 7, 24, and 63 licenses through Triad Advisors. In his free time, you can usually find Phil at the gym, either lifting weights, boxing, or learning jiu jitsu.
Webinar hosting presenter
Managing Editor, PLANADVISER
Webinar hosting presenter Alison Cooke Mintzer
Executive Director, ISS Media
Webinar hosting presenter Rebecca Moore
Managing Editor Digital, PLANSPONSOR.com
Webinar hosting presenter Judy Hartnett
Managing Editor Print, PLANADVISER.com
Documents
PDF
Speaker_Bios_-_Day_2_-_Conflict_Ahead_Regulation_Best_Interest_Insurance_Standards__New_Fiduciary_Rule_the_State-Based.pdf
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