9th Floor - R.W. Gillespie Conference & Education Center
Case Western Auditorium, 127 Public Square
Cleveland, Ohio 44114
FIRMA is pleased to sponsor a two-day Current Risk Issues Seminar in Cleveland, Ohio, on September 13 & 14, 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 eight (8.0) continuing education hours.
Our first day program will begin with Tim Keehan, Senior Counsel with the ABA’s Center for Securities, Trusts, and Investments. Tim will provide a not-to-miss update on current trust / wealth legislative issues.
Following Tim will be Greg McDougle, Lead Examiner Large Bank Group, Office of the Comptroller of the Currency in Cleveland. Greg will provide an update on OCC initiatives and current examination criticisms in bank fiduciary activities.
We end the afternoon sessions with Kevin Walsh. Kevin is a partner with Groom Law in Washington, DC. Kevin 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.
Following our Tuesday sessions, FIRMA is proud to host a Welcome Reception for all attendees and speakers, from 5:15 to 6:15pm. Our reception will be held just outside the Gillespie Auditorium in the 9th Floor foyer.
On Wednesday, September 14th, we begin our morning with Lloyd Wennlund, Executive Vice President with Northern Trust in Chicago. Lloyd will provide a vital update on money market reform.
Following Lloyd, we will have an interactive session focused upon the implementation challenges of the new DOL Fiduciary Rule. Our session leaders will be Carolyn Hodge, Wealth Advisor at Georgia Bank & Trust in Augusta, and David Jonke, Investment Advisors Compliance Director at Fifth Third Bank in Cincinnati. The discussion will focus on the key impact areas of this new legislation and how our institutions must be preparing for implementation deadlines in 2017.
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.
Cancellations received through August 26, 2016, will be refunded in full. Cancellations received August 27 through September 2, 2016, will be refunded subject to a $125.00 service charge. Cancellations made after September 2, 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.