Investments & Wealth Institute’s Focus on Fiduciary Event to Explore Industry Changes in the Face of Evolving Rules

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Experts identify new fiduciary trends and SEC rules impacting wealth managers at Investments & Wealth Institute conference

We want to provide our members with the most thorough and comprehensive education surrounding the fiduciary standard, so that they will not only be leaders in performance for their clients’ portfolios, but leaders in the industry in compliance and ethical standards, said Sean Walters, CEO.

With the Department of Labor’s (DOL) fiduciary rule only partly in effect, and the Securities and Exchange Commission ready to jump in, it can be difficult for financial advisors and investment managers to understand the best practices for compliance in the face of ever-changing regulation. The Investments & Wealth Institute™ will explore the complex issues surrounding fiduciary conformance in depth at its Focus on Fiduciary event, Nov. 13 at the Westin Washington D.C. City Center.

Attendees will have the opportunity to receive policy updates, compliance tips, presidential agenda forecasts and ethics from thought leaders in the political, government and financial industries, including:

  •     Rep. Jim Himes (D-Conn.), providing opening remarks
  •     Richard Roberts, former SEC Commissioner, discussing regulatory trends at the SEC, including the agency’s interest in fiduciary standard harmonization
  •     Greg Valliere, chief political strategist, Horizon Investments, lecturing on key policy issues on the Trump Administration’s agenda, including tax reform
  •     David Levine, principal, Groom Law Group, leading a session on how businesses must change to comply with the fiduciary rule
  •     John Nersesian, managing director of wealth management services, Nuveen, speaking about uniting the Institute’s Code of Professional Responsibility with the fiduciary rule
  •     Arun Sardana, senior institutional consultant, UBS Institutional Consulting Group, exploring ethics surrounding the fiduciary rule

“It often feels like the status of the DOL’s fiduciary rule changes on a daily basis, creating uncertainty and stress for both advisors and their clients on how to proceed,” said Sean Walters, CAE, chief executive officer, Investments & Wealth Institute. “We want to provide our members with the most thorough and comprehensive education surrounding the fiduciary standard, so that they will not only be leaders in performance for their clients’ portfolios, but leaders in the industry in compliance and ethical standards.”

For detailed information or to register, visit the Focus on Fiduciary event page. Journalists interested in receiving conference credentials should contact Greta Gloven, ggloven(at)i-w(dot)org or (303) 850-3079. Journalists should note that the last session of the conference (an informal discussion), Session Five: Speak Your Mind – Fiduciary Rules and Ethics, is not open to media.

About the Investments & Wealth Institute
Established in 1985, The Investments & and Wealth Institute™ is a professional association, advanced education provider, and standards body for financial advisors, investment consultants, and wealth managers who embrace excellence and ethics. Serving individual members and certificants in 37 countries around the world, Institute members collectively manage more than $3 trillion, providing investment consulting and wealth management services to individual and institutional clients.

Since 1988, the Institute, formerly known as IMCA, has offered the Certified Investment Management Analyst®     certification (CIMA®), which meets international accreditation standards (ANSI/ISO 17024) for personnel certification. The CIMA certification consistently distinguishes those who meet a global standard of competency and skills in investment management from those who do not. The Institute’s Certified Private Wealth Advisor® (CPWA®) certification is suited for wealth management professionals working with high-net-worth clients. In 2016, IMCA’s educational programs hosted more than 6,000 professionals.

The Investments & Wealth Institute™, IMCA® and Investment Management Consultants Association® are registered trademarks of Investment Management Consultants Association Inc. doing business as Investments & Wealth Institute. CIMA®, Certified Investment Management Analyst®, CIMC®, CPWA®, and Certified Private Wealth Advisor® are registered certification marks of the Investment Management Consultants Association Inc. doing business as Investments & Wealth Institute. RMA℠ and Retirement Management Advisor℠ are marks owned by Investment Management Consultants Association Inc. doing business as Investments & Wealth Institute. The Institute does not discriminate in educational opportunities or any other characteristic protected by law.

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