Come and listen to the ibdc alliance members talk about the issues which directly impact the broker-dealer and ria industries. Specifically, what are new and risky alternative products, what new finra and sec regulations may increase exposure to claims and regulatory actions, what are the claim trends that we are seeing and how you can protect your book from excessive losses.
Update on Regulation Best Interests Rule, Reg BI, and the impact it may have on regulatory actions and claims; Broker-Dealer, RIA, and Insurance Agent Claim Trends; SEC and FINRA 2020 Priorities; Alternative Product Failure Updates and the impact on the BD Industry; New Alternative Products everyone should be wary of; Cybersecurity Claim Trends Recommendations on policy wording to address new industry exposures; Tools for underwriters in assessing BD and RIA risks; Innovative analysis of claim value; Effective use of experts IBDC's Risk Management Toolbox
If you would like to join IBDC-RIAC Alliance Members at the April 10, 2024 Yankees vs Marlins baseball game, Yankee Stadium 7:00 pm, please send Lilian Morvay a message at: Lilian@IBDCconsulting.com and she will send you an invitation.
The following IBDC-RIAC Alliance Members will be your hosts:
