How the DOL Fiduciary Proposal Impacts the Compliance Landscape for Broker-Dealers

Date: Thursday, August 27, 2020
Time: 2:00 pm - 3:00 pm

Description

Join the Baker McKenzie Financial Regulation and Enforcement Team, in partnership with FSI, as we discuss the recent Department of Labor (DOL) rulemaking in the context of other current obligations. Firms, in particular, should consider how the DOL’s latest rulemaking impacts compliance with the U.S. Securities and Exchange Commission’s Regulation Best Interest (Reg BI), as well as the Massachusetts fiduciary rule.

In this program, we will discuss the DOL’s rulemaking, latest developments in Reg BI compliance and examinations, the Massachusetts Fiduciary Rule, and look ahead to what we expect in 2021.

Speakers

Amy Greer

Partner, DC/NY
Baker McKenzie

Jennifer Klass

Partner, New York
Baker McKenzie

Valerie Mirko

Partner, DC
Baker McKenzie

Moderator

Renee Barnett

Director of Federal Regulatory Affairs & Senior Counsel
Financial Services Institute

Presented by:

Registration Fees

Registration TypeFee
FSI MemberComplimentary
Non-MemberComplimentary