Overview
Individuals who should consider attending this webinar are persons that serve in a fiduciary capacity as an individual or as members of a fiduciary activity within a business. Also, individuals who serve in senior management, risk management, compliance or audit with oversight responsibility of business activities with fiduciary roles should consider attending.
In addition, this webinar would be of value to regulators who also must address businesses with fiduciary activities under their supervision as well as colleges and universities with risk management as part of a degree curriculum.
Why you should Attend
This presentation will provide:
The presentation also will review the functions that contain fiduciary responsibilities, site the laws and regulations that govern fiduciary activities and address the recent new DOL Fiduciary Rule.
Lastly, it will also address the management and oversight of fiduciary activity
Areas Covered in the Session
A review of the recent US Department of Labor (DOL) rule that addresses the fiduciary responsibilities of certain business activities of broker/dealers
Fiduciary risk management
Who Will Benefit
Speaker Profile
Robert Geary is the founder of Greenwich Risk Management Advisory Services “LLC” and services as the principal consultant on many of the firm’s consultancy mandates.
Individuals who should consider attending this webinar are persons that serve in a fiduciary capacity as an individual or as members of a fiduciary activity within a business. Also, individuals who serve in senior management, risk management, compliance or audit with oversight responsibility of business activities with fiduciary roles should consider attending.
In addition, this webinar would be of value to regulators who also must address businesses with fiduciary activities under their supervision as well as colleges and universities with risk management as part of a degree curriculum.
Why you should Attend
This presentation will provide:
- An understanding of fiduciary roles and fiduciary risk
- An understanding of fiduciary risk conditions and fiduciary risk events
- An understanding of fiduciary risk consequences
- An understanding of fiduciary-like responsibilities
- An understanding of potential causes of fiduciary risk events within fiduciary functions
- A focus on suitability and disclosure as potential causes of fiduciary risk events
The presentation also will review the functions that contain fiduciary responsibilities, site the laws and regulations that govern fiduciary activities and address the recent new DOL Fiduciary Rule.
Lastly, it will also address the management and oversight of fiduciary activity
Areas Covered in the Session
- Fiduciary duties
- Defining fiduciary risk
- Fiduciary risk conditions
- Fiduciary risk events
- The nature of fiduciary risk consequences
- Fiduciary-like responsibilities
- Functions/activities that contain fiduciary responsibilities
- Causes of fiduciary risk events
- Review of suitability standards of a fiduciary
- Review of disclosure standards of a fiduciary
- Laws and regulations that govern fiduciary activities
A review of the recent US Department of Labor (DOL) rule that addresses the fiduciary responsibilities of certain business activities of broker/dealers
Fiduciary risk management
Who Will Benefit
- Asset Management firms
- Senior Management
- Relationship Managers
- Investment Managers
- Risk Managers
- Compliance Officers
- Auditors
- Private Banks
- Senior Management
- Investment Managers
- Relationship Managers
- Risk Managers
- Compliance Officers
- Auditors
- Commercial Banks
- Personal Trust Officers
- Corporate Trust Officers
- Investor Services Officers
- Risk Managers
- Compliance Officers
- Auditors
- Broker/Dealers
- Brokers
- Risk Managers
- Compliance Officers
- Auditors
- Trustees
- Regulatory oversight of Fiduciary businesses and functions
- Educators at the University level
Speaker Profile
Robert Geary is the founder of Greenwich Risk Management Advisory Services “LLC” and services as the principal consultant on many of the firm’s consultancy mandates.
Speaker
Robert Geary is the founder of Greenwich Risk Management Advisory Services “LLC” and services as the principal consultant on many of the firm’s consultancy mandates.Robert has been a banking and finance industry professional for 49 years with 34 years serving in a variety of senior Treasury, financial markets, asset management and risk management roles at JP Morgan Chase & Co. During his career with JP Morgan Chase he served in the following positions:
Head of Chase Manhattan Bank’s euro and other offshore funding activities
Chase’s first Asia/Pacific Area Treasury and Financial Markets Executive located in Hong Kong with responsibility for the treasury, currency trading/sales activities and securities portfolios of Chase’s branches in nine countries that included the major centers of Japan, Hong Kong and Singapore
Who Should Attend
- Asset Management firms
- Senior Management
- Relationship Managers
- Investment Managers
- Risk Managers
- Compliance Officers
- Auditors
- Private Banks
- Senior Management
- Investment Managers
- Relationship Managers
- Risk Managers
- Compliance Officers
- Auditors
