Wednesday, May 8, 2019 9:15 AM - 10:15 AM
Executive Vice President
CANNON FINANCIAL INSTITUTE
The Retirement Plan Marketplace, which currently encompasses over $28 trillion, has a complicated legal and compliance framework that requires financial organizations to have comprehensive policies, procedures and controls in place to assure proper compliance and risk management. This program will focus on the compliance, operational, and reputational risks facing retirement service providers. Specifically, the areas to be discussed will be those identified by the Internal Revenue Service, Department of Labor, and the OCC.