Conference Materials


Breakout Sessions - Sales Practices and Bad Behavior

Monday, May 6, 2019 1:00 PM - 3:00 PM


Merrill Brian Speaker Bio
Maria Gattuso

Session Description

Please join Elia for an engaging discussion of today’s sales cul-ture within banking and wealth management.  Attendees will learn about the practices, strategies, and goal-setting orientation that confront a sales enterprise and culture. In addition, attend-ees will learn the direct risks and impact issues of rogue sales teams and tell-tale key risk indicators.  Elia will lead the audi-ence on a fascinating analysis of sales risk exposure.  Fiduciaries have the duty to avoid conicts of interest and self-dealing. Potential conicts must be managed appropriately to avoid harm to account beneciaries. Please join this session to participate in an interactive discussion about the most common conicts of interest faced bduciaries, including under ERISA, and learn strategies and best practices to avoid or appropriately manage such conicts, including as they relate to proprietary funds, own-bank securities, trading, and fees.

Session Material

Sales Practices and Bad Behavior