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Compliance Webinar: Join us July 30 for tips on preparing to address new rules & regs
July 30, 2019 @ 10:30 AM - 11:30 AM
Whether you’re an Insurance Agent, Registered Rep, Registered Investment Adviser Affiliate, IMO or Carrier, you won’t want to miss our webinar Tuesday, July 30 as Maureen James & Roger Hayashi, co-owners of Summit Compliance Group, discuss:
• A little history on the DOL rule evolution
• What has happened since, including:
o SEC BI Proposal
o NAIC Revised Suitability Model Regulation
o Trend of various state insurance and securities departments taking action
o A DOL re-proposal?
• What all of this could mean for each arm of distribution
• How IMOs can best support their producers going forward
• What steps independent distribution can take in anticipation of new rules
Position your business to survive and thrive despite changing regulation with information from this power-packed event!