With Regulation Best Interest (BI) going into effect July 1, what will be the impact on how financial advisors service their clients on a daily basis? Layer on top of that the changes to retirement planning created by the SECURE Act as well as the annual lists from FINRA and the SEC of each agency’s investigatory priorities, and it is clear the regulatory environment for financial professionals has changed significantly in the past year. This presentation is designed to update advisors on the substance of the key sales practices that regulators currently have under a microscope, and provide practical advice about how to improve your processes and procedures so that you can avoid getting crosswise with FINRA, the SEC, or your own firm’s Compliance department.
An ounce of prevention is worth a pound of cure—learn how you can keep your business compliant with today’s evolving regulatory standards and rules.
Scott Matasar, JD. Formerly a litigation partner in one of the largest and most highly esteemed law firms in the region, Scott has been repeatedly recognized by Super Lawyer Magazine as one of the “Top 50 Lawyers in Cleveland” and the “Top 100 Lawyers in Ohio,” and has received numerous other professional accolades. Scott’s practice focuses exclusively on representing broker/dealers, life insurance carriers and other financial institutions and professionals in litigation, arbitration, regulatory enforcement defense, recruiting matters and structuring practice buy/sell transactions across the country.
There are no CE credits available for this program.