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LIMRA LOMA Secure Retirement Institute DOL Fiduciary Rule Symposium

Managing Challenges and Finding Opportunities

5/3/2016 8:30 a.m. - 3 p.m.
Westin Copley Place, Boston, MA

Overview

Who Should Watch

This is a LIMRA and LOMA member-only event. Membership will be verified upon registration.

Individuals who are involved in the implementation of the DOL fiduciary rule at their firms, or who are seeking to better understand the challenges and opportunities that will arise under the final rule. This will include those involved in product development, marketing, customer service, distribution, compliance issues, and those who have a role in education for their workforce and customer services programs for defined contribution plans.

Highlights

This one-day symposium will bring together industry experts and consultants to examine the Department of Labor’s final fiduciary rule, its implications to distribution, product design, communication efforts, as well as discuss new opportunities and challenges facing the financial services industry.

Topics include:

  • Review of Final Rule and Industry Update
  • The Future of Distribution
  • Lessons Learned from Around the Globe
  • New Opportunities in a Post-DOL Fiduciary Rule Landscape 

Attendees will have an opportunity to discuss the biggest challenges facing their companies as they plan to implement the DOL fiduciary rule and learn valuable best practices uncovered by their peers.

Presenters

Maurya C. Keating
Lead Director and Associate General Counsel, AXA Equitable Life Insurance Company

  • Tuesday, May 3, 2016

    12:45 pm - 1:45 pm: Compliance and Legal Panel

Maurya C. Keating

Lead Director and Associate General Counsel, AXA Equitable Life Insurance Company

Maurya works in the National Compliance Office of the Law Department at AXA Equitable. She joined the company in 2005. Her work has included advising on a wide range of securities, insurance, and investment advisory compliance, product, and distribution issues. Maurya is also Vice President, Chief Broker-Dealer Counsel, and Investment Advisor Chief Compliance Officer of AXA Advisors LLC, a full-service broker-dealer and investment advisor. She has been working with industry groups and regulators to achieve regulatory reform. Maurya received Bachelor of Arts and Master of Arts degrees in Politics from the Catholic University of America, and a Juris Doctorate from St. John’s University School of Law.
Paul D. Mahan
Senior Vice President, Retirement Consulting Services, Commonwealth Financial Network

  • Tuesday, May 3, 2016

    9:30 am - 10:30 am: The Future of Distribution

Paul D. Mahan

Senior Vice President, Retirement Consulting Services, Commonwealth Financial Network

With more than 20 years of experience in the retirement plan industry, Paul leads Commonwealth’s qualified retirement business and is responsible for developing tools, dedicated resources, and products and services. He also oversees individual retirement strategy for the firm. Prior to joining Commonwealth, Paul was responsible for the defined contribution investment only (DCIO) and sub-advisory business at Pioneer Investments. Prior to Pioneer, he served in a variety of management roles within the qualified retirement plan business with Fidelity, Putnam Investments, and Scudder, Stevens & Clark. Paul attended Boston College for his undergraduate studies in English and holds a number of FINRA registrations.
Christopher Grant McDaniel
Specialist Leader, Deloitte Consulting Insurance Practices

  • Tuesday, May 3, 2016

    1:45 pm - 2:45 pm: Finding Opportunities

Christopher Grant McDaniel

Specialist Leader, Deloitte Consulting Insurance Practices

Christopher has more than 25 years of experience in the financial services industry with varied projects and management roles including organizational transformation, process improvement, roadmap development, PMO, and all facets of technology. Prior to Deloitte, Christopher was the SVP of Operations & Technology for the Insured Retirement Institute, where he brought together operations, technology and compliance executives across the largest insurance and brokerage companies in the nation to drive the annuities industry forward.
Ranjit Jaswal
Partner, EY

Ranjit Jaswal

Partner, EY

Ranjit Jaswal has worked in the financial services sector both in-industry and as a client advisor. His experience has covered Europe, Asia and North America, and he recently transferred to EY US from EY Hong Kong, where he led the Financial Risk & Capital Management Practice across Asia Pacific, focusing on Insurers and Asset Managers.
George Revoir
Vice President, Distribution, John Hancock Retirement Plan Services

George Revoir

Vice President, Distribution, John Hancock Retirement Plan Services

A 31-year veteran of the industry, George is responsible for distribution and intermediary services at John Hancock Retirement Plan Services. He has spent his entire career with John Hancock or Manulife Financial. George is a 3-time recipient of John Hancock’s STARs of Excellence Award, which recognizes and celebrates an elite group of employees for their success. He was named one of the most influential people in 2012 by 401(k) Wire. He was graduated from St. Michael's College in Vermont with a BS in sociology. 
Adam Scaramella, Esq.
Vice President and Corporate Counsel, The Prudential Insurance Company of America

  • Tuesday, May 3, 2016

    12:45 pm - 1:45 pm: Compliance and Legal Panel

Adam Scaramella, Esq.

Vice President and Corporate Counsel, The Prudential Insurance Company of America

Adam has practiced securities and insurance regulatory law for over 25 years, having represented insurance commissioners, insurance companies, mutual funds, broker/dealers, and investment advisors. Since 2000, he has supported Prudential’s Retail Sales Division (Prudential Advisors), Annuities, Retirement, and Individual Life Insurance Businesses. Adam received his BA from the University of Virginia and his JD from Rutgers University School of Law, Camden.
Marcia S. Wagner
Principal, The Wagner Law Group

  • Tuesday, May 3, 2016

    8:30 am - 9:30 am: The Fiduciary Rule: Practical Implications and What You Should Do Now

Marcia S. Wagner

Principal, The Wagner Law Group

Marcia is a specialist in pension and employee benefits law. At the Wagner Law Group, one of the nation’s largest boutique law firms, she specializes in ERISA, employee benefits, and executive compensation. She has practiced law for nearly 30 years. Marcia is recognized as an expert in a variety of employee benefits issues and executive compensation matters. She has written hundreds of articles and 14 books, and is a summa cum laude and Phi Beta Kappa graduate of Cornell University and a graduate of Harvard Law School.
Phyllis Zanghi
Senior Vice President and Associate General Counsel, MetLife

  • Tuesday, May 3, 2016

    12:45 pm - 1:45 pm: Compliance and Legal Panel

Phyllis Zanghi

Senior Vice President and Associate General Counsel, MetLife

Phyllis works in the MetLife Law Department in Charlotte, NC, where she is the head of the Tax/ERISA Unit. Phyllis’s main responsibilities include tax compliance for MetLife’s Global Payroll, the MetLife Retirement Plan, various qualified defined contribution plans, excess benefit, and voluntary deferred compensation plans offered to MetLife executives and directors. Phyllis manages a larger group of tax/ERISA professionals responsible for all employee benefit plans and executive compensation programs, as well as the tax positions and communication of the same for all MetLife products. Phyllis earned her LL.M in Taxation from New York University School of Law and her law degree from St. John's University.

Agenda

Registration

Registration Fees

This is a member-only event.

LIMRA and LOMA members: $300

Cancellation Policy

All cancellations must be received in writing. Cancellations received before April 12, 2016, will be refunded, less a $75 processing fee. Cancellations received from April 12, 2016, to April 26, 2016, will be refunded, less a $150 processing and administrative fee. No refunds will be issued after April 26, 2016.

In the event that a scheduled meeting or event is cancelled by LIMRA for any reason, LIMRA shall refund any conference registration fees that have been paid by the registrant. Under no circumstances, however, shall LIMRA be liable to the registrant for any other expenses including, but not limited to, airfare and hotel expenses incurred by the registrant.

Contact us to learn more:

Denise Fielding

Executive Assistant

LIMRA and LOMA

(860) 285-7856

dfielding@limra.com

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