BEGIN:VCALENDAR
VERSION:2.0
PRODID:-//ChamberMaster//Event Calendar 2.0//EN
METHOD:PUBLISH
X-PUBLISHED-TTL:P3D
REFRESH-INTERVAL:P3D
CALSCALE:GREGORIAN
BEGIN:VEVENT
DTSTART:20191120T133000Z
DTEND:20191120T150000Z
X-MICROSOFT-CDO-ALLDAYEVENT:FALSE
SUMMARY:POSTPONED - Financial Services Roundtable
DESCRIPTION:Keeping Regulators Happy in 2020: Fiduciary duty and other changes in financial services law\n\nJoin nationally renowned experts for a discussion on how to keep yourself and your organization in compliance.  You practice in a world of constantly changing regulations and compliance obligations.  Recent changes at the state and federal level around fiduciary duty obligations\, source of investment funds\, and other hot topics will be discussed.  The panel will review industry trends and offer practical advice and suggestions.\n\nSpeakers include: \n\nPeter Bulger\, Trade Investment Analysis Group\, has more than 40 years of experience in executive and managerial positions spanning regulatory\; broker-dealers\; investment advisers and consulting.  He is a former NASD investigator and has acted as a fact or expert witness in over 50 hearings.\n\n\n\nWilliam Bartol\, Investment Advisory Risk and Compliance Specialist\, develops custom compliance solutions and supports integrating best practices and entity/asset class specific needs.  Bill is a former Compliance Officer for Cornerstone/Barrings Real Estate Advisors\, ING Investment Manage Company\, Aeltus Investment Management and MassMutual.\n\n\n\nLou Ciavarra\, Partner\, Bowditch & Dewey LLP\, represents financial services industry professionals and companies before state and regulatory authorities and FINRA.  Lou is a trial lawyer with more than 30 years of problem-solving experience on behalf of clients facing difficult claims and disputes.
X-ALT-DESC;FMTTYPE=text/html:<p><span style="font-size:18px\;"><strong><span style="color:#1E73BE\;"><span style="font-family: arial\;">Keeping Regulators Happy in 2020: Fiduciary duty and other changes in financial services law</span></span><br />\n<span style="font-family: arial\;"><span style="font-size:14px\;">Join nationally renowned experts for a discussion on how to keep yourself and your organization in compliance.&nbsp\; You practice in a world of constantly changing regulations and compliance obligations.&nbsp\; Recent changes at the state and federal level around fiduciary duty obligations\, source of investment funds\, and other hot topics will be discussed.&nbsp\; The panel will review industry&nbsp\;trends and offer practical advice and suggestions.</span></span><br />\n<span style="color:#1E73BE\;"><span style="font-family: arial\;"><span style="font-size:14px\;">Speakers include:&nbsp\;<br />\nPeter Bulger\, Trade Investment Analysis Group\,&nbsp\;</span></span></span><span style="font-family: arial\;"><span style="font-size:14px\;">has more than 40 years of experience </span></span></strong></span><span style="font-size:18px\;"><strong><span style="font-family: arial\;"><span style="font-size:14px\;">in executive and managerial positions spanning regulatory\; broker-dealers\; investment advisers and consulting.&nbsp\; He is a former NASD investigator and has acted as a fact or expert witness in over 50 hearings.</span></span><br />\n<br />\n<span style="color:#0000CD\;"><span style="font-family: arial\;"><span style="font-size:14px\;">William Bartol\, Investment Advisory Risk and Compliance Specialist\, d</span></span></span></strong></span><span style="font-size:18px\;"><strong><span style="font-family: arial\;"><span style="font-size:14px\;">evelops custom compliance solutions and supports integrating best practices and entity/asset class specific needs.&nbsp\; Bill is a former Compliance Officer for Cornerstone/Barrings Real Estate Advisors\, ING Investment Manage Company\, Aeltus Investment Management and MassMutual.</span></span></strong></span><br />\n<br />\n<strong><span style="font-family:arial\;"><span style="font-size:14px\;"><span style="color:#0000CD\;">Lou Ciavarra\, Partner\, Bowditch &amp\; Dewey LLP\, r</span></span></span><span style="font-size:14px\;">epresents financial services industry professionals and companies before state and regulatory authorities and FINRA.&nbsp\; Lou is a trial lawyer with more than 30 years of problem-solving experience on behalf of clients facing difficult claims and disputes.</span></strong><br />\n<br />\n&nbsp\;</p>\n
LOCATION:Worcester Regional Chamber of Commerce Fuller Conference Room 311 Main Street\, Suite 200 Worcester\, MA 01608
UID:e.2083.10376
SEQUENCE:3
DTSTAMP:20260423T211439Z
URL:https://business.cmschamber.org/events/details/postponed-financial-services-roundtable-10376
END:VEVENT

END:VCALENDAR