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Wednesday, October 12, 2011

11:10 AM - 12:00 PM

REGULATORY PANEL: DODD-FRANK, FIDUCIARY STANDARDS AND MORE AFFECTING YOUR PRACTICE

Moderator: Frances McMorris Editor in Chief, ON WALL STREET
Susan MacMichael John, CFP® AIF® Founder and President, FINANCIAL FOCUS INC AND NATIONAL CHAIR, THE NATIONAL ASSOCIATION OF PERSONAL FINANCIAL ADVISORS (NAPFA)
Jean Loewenberg Executive Vice President and General Counsel, LOOMIS SAYLES & COMPANY
Session Leader: Marilyn Mohrman-Gillis Managing Director, Public Policy and Communications, CFP BOARD

Recent regulatory and legislative activity in Washington, D.C. could have significant implications for financial planners and advisors as the Dodd-Frank Wall Street Reform and Consumer Protection Act is implemented. It’s important for financial advisors to live up to the fiduciary standard and understand how proposed regulations in the nation’s capital will impact them, their practice and their work with their clients. This session will help sift through the jargon and the headlines, covering such issues as:

  • The role of the SEC, FINRA and other regulators post Dodd-Frank
  • NAPFA’s outlook on the fiduciary standard
  • The impact on companies in asset management

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