SL02 - Supervisory and Compliance Structures of Brokerage Firms: Compliance with Fiduciary Standards and the "Best Interest" Contract Exemption

Date/Time: 
10/18/2017 - 10:00am to 10/18/2017 - 11:00am
Room: 
Rocky Mountain CD

This segment will build upon the prior session and examine the supervisory and compliance structures at dually registered firms required to act as a fiduciary in varying contexts, and explore how firms view their duties to customers holding accounts subject to different standards. The panel will further discuss the procedures firms have put in place to comply with the DoL fiduciary rule and the best interest contract exemption.