Cybersecurity Regulations for Financial Services

 

Q&A Session on DOL Fiduciary Rule

Date/Time:
Tuesday, May 30
noon - 1:00 p.m. (ET)

The panel will conduct a Q&A session via a conference call regarding the DOL’s recent non-enforcement policy statement and FAQ guidance. You may submit questions ahead of time for the session by emailing iaaservices@investmentadviser.org.

Presenters

Jenny Eller is Co-Head of Groom Law Group’s Fiduciary practice group. In her practice, Jenny advises financial institutions on the design and delivery of products and services to the retirement plan marketplace, and advises large corporate and public plan sponsors on all aspects of ERISA fiduciary compliance. In her role as practice group Co-Head, Jenny is responsible for ensuring that the strategic direction and new initiatives of the Fiduciary group position the Groom Law Group to serve the needs of its financial institution, corporate and public plan clients. Jenny holds a BA from Avila College, where she graduated magna cum laude, and a JD from Georgetown University Law Center, where she graduated cum laude. Download to see image
David C. Kaleda is a Principal in the Fiduciary Responsibility practice group at Groom Law Group. David has an extensive background in the employee benefits and financial services sector. He advises clients on the avoidance and resolution of prohibited transaction issues, the structuring of alternative investment funds (including "plan asset" funds, real estate operating companies, and venture capital operating companies), and day-to-day compliance issues arising under ERISA and the Internal Revenue Code. He also has substantial experience dealing with tax issues involving qualified plans and representing clients before the DOL and the IRS. David served on the DOL's ERISA Advisory Council for a three-year term (2012-2014). Download to see image
Karen Barr (moderator) is President and CEO of the Investment Adviser Association. Before assuming this role in 2014, she served as the IAA’s General Counsel for 17 years, with responsibility for the wide range of legal and regulatory matters affecting the Association and its members. Prior to joining the IAA, Ms. Barr was in private practice at Wilmer, Cutler & Pickering (now WilmerHale), where she represented clients with respect to SEC investigations, securities class action litigation, internal corporate investigations, and securities regulatory matters. Ms. Barr received her B.A. from the University of Pennsylvania and her law degree from the University of Michigan Law School. Download to see image

Registration

Click the "Register" button on this page. Registration is available to members and associate members only.

Registration for the live call closes on Tuesday, May 30 at 10 a.m. (ET).

Cancellation:
Cancellations and substitutions must be received in writing no later than 10 a.m. (ET) Tuesday, May 30, 2017. Email your requests to megan.olson@investmentadviser.org.

Questions?

For questions regarding this call, contact the IAA at (202) 293-4222 or email iaaevents@investmentadviser.org.