MicroNet Template
POSTPONED - Financial Services Roundtable
Keeping Regulators Happy in 2020: Fiduciary duty and other changes in financial services law
Join nationally renowned experts for a discussion on how to keep yourself and your organization in compliance. You practice in a world of constantly changing regulations and compliance obligations. Recent changes at the state and federal level around fiduciary duty obligations, source of investment funds, and other hot topics will be discussed. The panel will review industry trends and offer practical advice and suggestions.
Speakers include:
Peter Bulger, Trade Investment Analysis Group, has more than 40 years of experience in executive and managerial positions spanning regulatory; broker-dealers; investment advisers and consulting. He is a former NASD investigator and has acted as a fact or expert witness in over 50 hearings.
William Bartol, Investment Advisory Risk and Compliance Specialist, develops custom compliance solutions and supports integrating best practices and entity/asset class specific needs. Bill is a former Compliance Officer for Cornerstone/Barrings Real Estate Advisors, ING Investment Manage Company, Aeltus Investment Management and MassMutual.
Lou Ciavarra, Partner, Bowditch & Dewey LLP, represents financial services industry professionals and companies before state and regulatory authorities and FINRA. Lou is a trial lawyer with more than 30 years of problem-solving experience on behalf of clients facing difficult claims and disputes.
Date and Time
Wednesday Nov 20, 2019
8:30 AM - 10:00 AM EST
Wednesday, November 20, 2019
8:30 - 10:00 AM
Location
Worcester Regional Chamber of Commerce
Fuller Conference Room
311 Main Street, Suite 200
Worcester, MA 01608
Fees/Admission
No charge for members of the Financial Services Industries.
Contact Information
Linda Salem Pervier
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