Overview

Join SIFMA at 12:15PM on Thursday, January 16 for a half-day session on products, tools and services available to assist with implementing and complying with Reg BI and Form CRS.

Please note: In-person registration is now closed. If you would like to register for the webinar, please contact SIFMA Conferences.

By June 30, 2020, registered broker-dealers must comply with Regulation Best Interest; and broker-dealers and investment advisers registered with the SEC must prepare, file, and deliver to retail investors, a new customer relationship summary (Form CRS). To complement SIFMA’s Reg BI Implementation Guide, this event will provide attendees an overview of the implementation considerations, and the opportunity to interact with vendors and consultants who are developing the products, tools and services to help firms with implementation and ongoing compliance.

Regulation Best Interest Vendor Forum

Overview

Join SIFMA at 12:15PM on Thursday, January 16 for a half-day session on products, tools and services available to assist with implementing and complying with Reg BI and Form CRS.

Please note: In-person registration is now closed. If you would like to register for the webinar, please contact SIFMA Conferences.

By June 30, 2020, registered broker-dealers must comply with Regulation Best Interest; and broker-dealers and investment advisers registered with the SEC must prepare, file, and deliver to retail investors, a new customer relationship summary (Form CRS). To complement SIFMA’s Reg BI Implementation Guide, this event will provide attendees an overview of the implementation considerations, and the opportunity to interact with vendors and consultants who are developing the products, tools and services to help firms with implementation and ongoing compliance.

Program

12:00pm – 6:00pm

Registration Hours

12:00pm – 1:10pm

Networking Lunch

1:10pm – 1:15pm

Participants

Jillian Enoch

Speaker

Jillian Enoch

Vice President, Federal Government Relations

SIFMA

Jillian Enoch’s Biography

1:15pm – 2:15pm

This panel will discuss the new Reg BI rule package and its impact on broker-dealer businesses. Panelists will explore program governance, different strategies to comply and…

This panel will discuss the new Reg BI rule package and its impact on broker-dealer businesses. Panelists will explore program governance, different strategies to comply and how to help firms navigate the rule’s requirements.

Participants

Jason P. Kelly, Maria R. Gattuso, Rex Gooch, Bharat Sawhney

Moderator

Jason P. Kelly

Associate General Counsel

Edward Jones

Jason P. Kelly’s Biography

Panelists

Maria R. Gattuso

Principal

Deloitte

Maria R. Gattuso’s Biography

Rex Gooch

Vice President, Product Strategy & General Manager, Retail Surveillance, Trading and Compliance

FIS

Rex Gooch’s Biography

2:15pm – 2:45pm

Networking Break

2:45pm – 3:45pm

This panel will explore various approaches to compliance with Reg BI, including how to comply with the Care Obligation, considerations for interacting with and onboarding new…

This panel will explore various approaches to compliance with Reg BI, including how to comply with the Care Obligation, considerations for interacting with and onboarding new clients, and how to design and deliver Form CRS.

Participants

Kurt Johansen, Aladin Abughazaleh, Christopher Fernandes, Jean Reilly, Hamish Wynn

Moderator

Panelists

Aladin Abughazaleh

Chief Executive Officer

ATA RiskStation, LLC

Aladin Abughazaleh’s Biography

Christopher Fernandes

Director of Legal

Hearsay Systems

Christopher Fernandes’s Biography

Jean Reilly

Managing Director Wealth Management Consulting Practice

Broadridge Financial Solutions

Jean Reilly’s Biography

Hamish Wynn

Managing Director

Accenture

Hamish Wynn’s Biography

3:45pm – 5:00pm

This panel will discuss how firms may tackle documenting that recommendations are made in a client’s best interest, including new tools, training programs, process changes, and…

This panel will discuss how firms may tackle documenting that recommendations are made in a client’s best interest, including new tools, training programs, process changes, and more. Panelists will also discuss how to detect violations and what supervisory and surveillance changes may be needed.

Participants

Lee Thoresen, David T. Ackerman, Robert Lavigne, Allen Meyer, Joshua Uhl

Moderator

Lee Thoresen

Senior Counsel, Head of Regulatory and Transactional

RBC Wealth Management

Lee Thoresen’s Biography

Panelists

David T. Ackerman

Regulatory Subject Matter Expert

NICE

David T. Ackerman’s Biography

Robert Lavigne

Managing Director, Bates Compliance

Bates Group LLC

Robert Lavigne’s Biography

Allen Meyer

Partner, Finance & Risk, Public Policy and Corporate & Institutional Banking

Oliver Wyman

Allen Meyer’s Biography

Joshua Uhl

Senior Manager

Deloitte

Joshua Uhl’s Biography

5:00pm – 6:00pm

Networking Reception

Venue

SIFMA Conference Center

120 Broadway
Floor 2
New York, NY 10271

View on Google Maps

Located at 120 Broadway, a National Historic Landmark and a New York treasure, the SIFMA Conference Center is situated at the heart of New York’s Financial District.

With a rare combination of advanced technologies and sophistication, SIFMA’s Conference Center is fully furnished and equipped to offer unique features that stand alone amongst New York’s leading conference facilities.

Picture of venue

Hotel Accommodations

If you require hotel accommodation, a special SIFMA rate is available at the following:

Double Tree by Hilton Hotel – Financial District
8 Stone Street, New York, NY  10004, Phone# 212-480-9100
DISCOUNT: Corporate ID #0560038852

Club Quarters
52 William Street, New York, NY 10005, Phone# 212-269-6400
DISCOUNT: Password (SIFMA)

Residence Inn New York Downtown Manhattan / World Trade Center
170 Broadway, New York, NY 10007, Phone# 212-600-8900
DISCOUNT: Password (SIFMA)

Terms and Conditions

Code of Conduct
SIFMA meetings and events are intended to educate and engage our members and industry participants in thoughtful conversations. Inappropriate behavior will not be tolerated. View our Code of Conduct and anonymous incident report form.

Substitutions
Conference registration substitutions are welcome. Email SIFMA Conferences with the following information and we will confirm the change: original registrant’s full name, substitute registrant’s full name, mailing address, title, phone and email.

Cancellations
Refunds will be granted for cancellations made three weeks prior to the start of the event. All cancellation requests are subject to a $100 processing fee and must be made in writing.