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Regulation R Explained – Where Every Fiduciary Organization Must Be Now
ABA/FIRMA Telephone Briefing*
Presented by:
American Bankers Association and Fiduciary & Investment Risk Management Association
This recording of the live, 90-minute telephone briefing held on December 9 provides a critical Readiness Review for Regulation R – a rule that applies to every fiduciary organization. Our program is essential for compliance and risk managers, your finance group, Human Resources, Marketing Executives, and your business line/Operations staff.
Finally...a program that explains Regulation R for fiduciary management. If you believe your Reg R readiness program is complete, this program will allow you to review your up-to-date status. If not complete, our expert panel will provide critical practical guidance for Reg R compliance. All fiduciary organizations, regardless of size, must respond to at least four Reg R issues:
1. Chiefly Compensated (trust and fiduciary) analysis;
2. Networking and Incentive Compensation restrictions;
3. Custody and Safekeeping restrictions, and
4. Advertising.
| Program Date |
Audio CD Now Available |
| Per CD Fees** |
$225 ABA/FIRMA/Service Member
$355 Non-Member |
| Registration |
No Applicable |
| Audio CD |
Order Online (PDF) |
| Credits |
This recording has been approved for 2.0 CTFA (FID), 2.0 CCTS, 2.0 CRSP, 2.0 CISP and 2.0 CSOP continuing education credits.
The Institute of Certified Bankers (ICB) is dedicated to promoting the highest standards of performance and ethics within the financial services industry. |
This important briefing will provide listeners with specific discussions of the analyses that each institution must be performing now and will discuss compliance requirements and due dates for 2009 and 2010. Our expert panel will discuss how exceptions/exemptions apply to referral compensation, incentives and bonuses, the impact of usage of money market mutual funds, and Custody & Safekeeping accounts.
After attending, you will be able to more effectively:
- Understand what the requirements are vs. the do's and don'ts (what you need to know and why/when it applies)
- Learn what to document
- Gain assistance for plain language explanations to CEO's (why now and what), Human Resources (compensation), and Marketing (advertising)
- Obtain helpful handouts for implementation and overview
- Identify potential pitfalls and experiences about what has been done, seen, felt, and expected
- Learn about your regulator's expectations.
Speakers
- Lisa Carroll, CIA, CFIRS, Sr. Compliance Officer, Edward Jones Trust Company, St. Louis, MO
- Jennifer DeVries, CTA, FVP, Director of Risk Management & Operations, MB Financial Bank, Chicago, IL
- Satish Pattegar, CTCP, SVP & Chief Compliance Officer-Trust, US Bank, Minneapolis, MN
- Kathryn AB Vest, First Vice President, Wealth & Investment Management, SunTrust Bank, Richmond, VA
- Sally Miller, SVP, Director & Chief Regulatory Counsel, Center for Securities, Trust and Investments, American Bankers Association, Washington, DC (moderator)
Who Should Attend
- Senior Bank Management
- Bank Counsel
- Trust Department Managers
- Trust Counsel
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- Bank Brokerage and
Securities Managers
- Compliance Officers
- Auditors
- Risk Managers
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*ABA's Telephone Briefings include reference materials and telephone audio. Telephone/Webcast Briefings include reference materials, telephone audio, and simultaneous webcast presentation (requires 56K or faster with JavaScript and cookies enabled in the browser, i.e., Microsoft Internet Explorer 4.0 or later, or Netscape 4.7X).
**Each site license (registration fee) entitles you to one phone connection and one Internet connection (when there is a simultaneous webcast presentation) where an unlimited number of listeners can participate.
Any transmission, retransmission or republishing of the audio or Web portions of this briefing is strictly prohibited.
Questions? Please contact Joe Mach / Linda Shepard / Cari Hearn for more information.
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