Independent Broker Dealer Consortium

SPOTLIGHT SERIES

IBDC-RIAC regularly offers presentations either in person or by remote webinar to “Spotlight” the talented IBDC-RIAC experts. The seminars will address topics pertinent and timely to independent broker-dealers, RIAs and the insurance professionals who provide errors and omissions insurance to this community. The “Spotlight Series” events are designed to provide targeted and timely risk management strategies while also addressing insurance underwriting and claims-related issues.

Resources

Hear these industry experts share their experiences about defending regulatory and arbitration matters, and the techniques they employ to obtain the best outcomes for their clients. There is ample opportunity for questions and networking during the cocktail hour following the presentations. Application shall be made for New York State continuing legal education credits.

Past events

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THE CHALLENGES OF IDENTIFYING AND DEFENDING SELLING AWAY AND MONEY LAUNDERING - March 21, 2019 seminar

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ALTERNATIVE PRODUCTS, SELLING AND DEFENDING FROM THE PERSPECTIVE OF THE BROKER DEALER, THE E & O CARRIER, THE LEGAL
DEFENSE TEAM AND THE EXPERTS - June 20, 2019 seminar

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REGULATION BEST INTEREST WEBINAR: HOW TO PREPARE FOR THE REG BI IMPLEMENTATION - June 30, 2020 webinar

Stay tuned for our upcoming events

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