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Independent Broker Dealer Consortium

IBDC-RIAC SPOTLIGHT WEBINAR SERIES PRESENTS:

Ethical Concerns for BDs

Date: April 7, 2022
Time: 1:00 pm
Duration: 1 Hour
Where: Zoom Screen From the Comfort and Safety of your home
Past Webinar

Please join IBDC Alliance member, Barry Temkin, partner, and Kate E. Digeronimo, partner at Mound Cotton Wollan & Greengrass LLP, on April 7 as they moderate Ethical Concerns for BDs

Our panel of professionals will explore:
Regulation Best Interest

new standards of conduct bring new challenges

Disputes between joint account holders

ensuring you fulfill your obligations to both sides of a house divided

FINRA Rule 2165 – Financial Exploitation of Specified Adults

this necessary Safe Harbor option to protect vulnerable adults has a few traps for the well-meaning advisor

Protecting Customers from RRs/IARs Exhibiting Capacity Issues

balancing the competing interests of customer protection and avoiding workplace discrimination

Speakers For This Presentation Are Ibdc-riac Alliance Members:

lilmorv

Lilian A. Morvay

Principal and Founder of IBDC-RIAC
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