Current Risk Issues Seminar -- New York

October 19, 2016
Member Price: $425.00
Non-Member Price: $580.00
Registration Form


Training Location:
Morgan Stanley
750 - 7th Avenue
New York, New York 10019

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FIRMA is pleased to sponsor a one day Current Risk Issues Seminar in New York, on October 19, 2016. This seminar features lectures from recognized industry experts and topics specifically covering current fiduciary risk issues. The program content is designed to benefit risk management professionals at all skill levels, including fiduciary risk managers and executives, as well as audit managers and fiduciary compliance professionals. This program will provide seven (7.0) continuing education hours.

Our full day program will begin with Joel Miller, Senior Policy Group Leader with the Asset Management Group with the Office of the Comptroller of the Currency in Washington, DC. Joel will provide an update on OCC initiatives and current examination criticisms in bank fiduciary activities.

Following Joel, we welcome Alex Ryan. Alex is a partner with Groom Law in Washington, DC. Alex will provide a critical update on the new DOL Fiduciary Standard – what the ruling means, new requirements, what is changing, and what are the significant impact areas for our wealth business units.

We will end the morning with Phoebe Papageorgiou, Senior Counsel with the ABA’s Center for Securities, Trusts, and Investments. Phoebe will provide a not-to-miss update on current trust / wealth legislative issues.

After lunch, we welcome Hal Crawford. Hal is a senior partner with consulting firm K2 Intelligence in New York, specializing in AML Investigations, Compliance Solutions, and Cyber Defense. Hal will provide a detailed look into the recent Panama Papers disclosure and the ensuing implications for wealth and trust strategies.

Following Hal, we welcome Robert Rosener, Senior Economist with Morgan Stanley in New York. Robert will provide a vital update on both domestic and global economic events, challenges, and trends.

We will conclude our program with Marie Dzanis. Marie is Head of Intermediary Distribution with Northern Trust Asset Management in Chicago. She will lead a discussion of the emerging ROBO Advisory platforms and technology services – strategies and risk components for the digital advisory world.


The program skill level for this seminar is rated “Intermediate.” Please refer to the “Seminar Information” section of this brochure for the educational and/or advance prerequisites for this seminar. There are no advance preparation requirements to be read or completed prior to attending this program.

Upcoming Events


Morgan Stanley, 750 - 7th Avenue, New York, New York 10019

Registration Deadline

September 30, 2016


Payment Type

Cancellation Policy

Cancellations received through September 30, 2016, will be refunded in full. Cancellations received October 1 through October 7, 2016, will be refunded subject to a $125.00 service charge. Cancellations made after October 7, 2016, are not refundable.

FIRMA reserves the right to change speakers or reschedule or cancel sessions when necessary. FIRMA is not responsible for any penalties (e.g. airfare, hotels, etc.) that may be incurred should this program be canceled. For more information regarding seminar administrative policies such as complaint or refund, please contact our offices at (770) 790-8355.