Financial Services Reform Update

Financial Services Reform Update
Duane Thompson
05/07/10 4 PM EST
IWI
3.0
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As Congress wrestles with historic reforms in the way Wall Street conducts business, the fate of advisor regulation hangs in the balance. While Washington’s focus has been on gaps in banking regulation and systemic risk, lesser-known reforms will have a lasting impact on the way advisors run their firms.

In this webinar, you'll learn about reform proposals including:

  • moving RIAs with less than $100 million AUM to state jurisdiction
  • making FINRA responsible for RIA regulation instead of the SEC
  • extending fiduciary responsibility to wire house brokers
  • creating a separate regulator for financial planners

Guest speaker Duane Thompson is president of Potomac Strategies LLC, a bipartisan government relations firm. Potomac provides federal representation before Congress, legislative analysis, and strategic communications to companies in the financial services industry, and it is focused on the independent advisor channel. Thompson is a former managing director of the Financial Planning Association’s Washington lobbying office. He has 20 years of experience as a registered federal and state lobbyist and was named Lobbyist of the Year in 2005 by Compliance Reporter.

 

This webinar is approved for IMCA CE credit.


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(Updated: May 06, 2010)
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Terrific!

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(Updated: May 06, 2010)
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one of the best, bringing some sense to a complex, changing topic; thanks, Andy and Duane.

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(Updated: May 06, 2010)
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I think it was very helpful.

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(Updated: May 06, 2010)
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Wish we had more time for this presentation. Informative and necessary.

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(Updated: May 06, 2010)
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Very timely and informative

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