March 10, 2020 – Dinner Meeting
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3/10/2020
When: Tuesday, March 10, 2020
4:00 PM - 7:30 PM
Where: Hanover Marriott
1401 Route 10 East
Whippany, New Jersey  07981
United States


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Topic:     A Regulatory Review

 

Description:   This will be a 130-minute (2.5 CE) Continuing Education Program moderated by John Bucsek of MassMutual,

     featuring two (2) legal experts on topics that are important to financial planners.


    The two speakers and their specific topics are:

 

Speakers:

 

Max Schatzow- Associate at Stark & Stark

Topic:  Legal & regulatory implications of the zero-commission arms race. 

The speaker will present potential legal and regulatory implications for financial planners who wrap fees or present asset-based pricing.  He will suggest guidance for current review of custodial relationships to ensure financial planners are meeting their obligations to seek best execution on behalf of their clients.

Attendees of this presentation will learn:

  • About recent events involving brokerage practices and how it impacts managing client portfolios.
  • About disclosure obligations under form ADV.
  • How this impacts compliance and supervision for security selection.
Logan Fisher – Principal at Bressler, Amery & Ross

Topic:  Protecting Senior & Vulnerable Investors from Financial Exploitation

The protection of senior and vulnerable investors from financial exploitation continues to be a top priority for the SEC, FINRA, state regulators and law enforcement in all 50 states. I will discuss recent legal and regulatory developments regarding senior and vulnerable investors and how they apply your business.

Attendees of this presentation will learn:
  • What you need to know about new FINRA rules as well as recently enacted state and federal statutes
  • Practices and procedures to adopt to protect yourselves, your clients, and your firm; and
  • Suggestions on how to effectively handle and address customer complaints, sales practice cases and regulatory inquiries involving senior and vulnerable investors.  

Agenda: 

  • 4:00 PM – Arrival
  • 4:15 PM – Topic & Speaker Introductions – John Bucsek
  • 4:20 PM - Speaker #1 – Max Schatzow (50 minutes)
  • 5:10 PM - Dinner Service
  • 5:20 PM - Speaker #2 – Logan Fisher (50 Minutes)
  • 6:10 PM – Announcements
  • 6:20 PM – Panel Discussion (30 minutes)
  • 6:50 PM - Conclude

CFP CE Credit:  Approved for 2.5 credits

 

Location:

 

Hanover Marriott

1401 Route 10 East

Whippany, NJ  07981

 

Sponsor:

 

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