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Global Financial Markets Intelligence

Global Financial Markets Intelligence

DOL Fiduciary Rule Compliance

Clarifying, adapting and complying with the rule to ensure resilience and competitive advantage.

13-15 Nov 2017
New York, NY, United States of America

Why You Should Attend

DOL Fiduciary Rule Compliance

This GFMI conference will clarify the main issues surrounding the Fiduciary Rule including exemptions and regulatory priorities. By facilitating discussions between regulators and the industry, delegates will gain an understanding of the role of FINRA and the SEC. This conference will assess product innovations, the role of conflicts officers and committees and how to use technology to help with compliance and minimize costs. Going further, this meeting will allow delegates to debate the future of the fiduciary rule and the impact it will have on client-advisor relationships alongside industry experts and peers.

Key Topics

  • Clarify the main issues surrounding the fiduciary rule
  • Maintain pace with the DOL and SEC regulations
  • Gain insight into the complexities of the rule from regulators
  • Utilise expert knowledge on exemptions and business models
  • Integrate technology to minimise cost of compliance
  • Previous Attendees Include

    The Federal Reserve Bank of Richmond, BB&T, Statestreet Corporation, Desjardins, Citigroup, GE, Deutsche Bank, Associate Banc Corp., RBC Capital Markets, Bank of Montreal, F&M Bank, Bridge Bank, PNC Financial SVCS, RBS Citizens Bank, Sovereign Bank, Banco Leon, Bank of America, Scotiabank, TD Bank Group, Union Bank

    Why Choose GFMI marcus evans?

    marcus evans specialises in the research and development of strategic events for senior business executives. From our international network of 63 offices, marcus evans produces over 1000 event days a year on strategic issues in corporate finance, telecommunications, technology, health, transportation, capital markets, human resources and business improvement.

    Above all, marcus evans provides clients with business information and knowledge which enables them to sustain a valuable competitive advantage and makes a positive contribution to their success.

    Event Partners

    Practical Insights From

    Meghan Milloy
    Director of Financial Services Policy
    American Action Forum

    Leah Dempsey
    Senior Director of Advocacy and Counsel
    Credit Union National Association

    Aliya Wong
    Executive Director of Retirement Policy
    US Chamber of Commerce

    Linda Kreschner
    Senior Vice President

    Karen Sukin
    EVP and General Counsel

    Alan Spierer
    Senior Vice President, Retirement Plans Consultant

    Will Hansen
    Senior Vice President, Retirement and Compensation Policy

    Click Here For Full Agenda

    Voice of Our Customers
    • “The conference is a great way to learn how other companies are addressing the regulations and see best practices that can be applied in one's own organization.” - Liberty Mutual
    • “Good information and Interaction with all attendees. This was a well run conference dealing with a difficult subject matter.”- Community Bank of Florida
    • “I have enjoyed all marcus evans conferences but this was the best use of my time compared with all the other conferences I've attended. Every session gave me something to take home.” – BOK Financial
    • "A conference on this is exactly what is needed at the moment, because banks are mostly communicating through risk consultancy and what's needed is more dialogue." -SME CCAR, Barclays
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    Event Contact

    For all enquiries regarding speaking, sponsoring and attending this conference contact:

    Kirill Pokotilov - GFMI

    NBC Tower, 9th Floor
    455 North Cityfront Plaza Drive
    Chicago, IL 60611

    (312) 894-6313
    Fax: (312) 894-6304
    Email: kpokotilov@global-fmi.com