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Looking Ahead to Best Interest Standards for Life and Annuity Sales - Part II

2/20/2019 12:00 PM EST - 1:00 PM EST
Webinar

Overview

Who Should Watch

This is a LIMRA member benefit webinar. Registration is open to home/corporate office employees of LIMRA member companies. Membership will be verified upon registration.

Highlights

This webinar, the second of two parts, will expand the discussion of enhanced standards of care and related supervision requirements emerging at the state and federal levels. 

Matt Drinkwater, LIMRA SRI's head of retirement research, will interview experts from Eversheds Sutherland on recently-adopted and proposed state and SEC requirements for:

  • New sales recommendations
  • In-force transactions and wholesalers
  • New disclosures and enhanced supervision
  • Training and suitability information collection requirements

Presenters

Susan S. Krawczyk
Partner, Sutherland, Asbill & Brennan LLP

Susan S. Krawczyk

Partner, Sutherland, Asbill & Brennan LLP

With a deep understanding of the financial markets, Susan Krawczyk helps broker-dealers, investment advisers and sponsors to design, sell and deliver investment products and programs that perform for investors and that raise capital. The author of compliance manuals that became models for the industry, Susan has extensive experience in day-to-day regulatory, operational and compliance issues across the retail, institutional and retirement segments of the financial markets.

Susan advises clients regularly on distribution and wholesaling arrangements for both public and private offerings, including incentive, non-cash compensation and marketing support arrangements. Susan has particular experience with firms involved in the sale and distribution of investment products and programs, such as mutual funds, variable products, real estate investment trusts, business development companies and direct participation programs, in the registered investment adviser context (i.e., the “RIA channel”) and retirement plan markets. She works with clients in establishing marketing and selling arrangements for these programs that satisfy regulatory requirements. She also assists clients with obtaining regulatory approvals for illustrations of historical and hypothetical portfolio performance and track record results. 

Susan has been closely involved with numerous enterprises in the establishment, restructuring and acquisition of broker-dealer firms, and has handled numerous new member application (NMA) and continuing membership application (CMA or 1017) filings with FINRA to obtain approval of these transactions. She has developed and conducted training programs for all levels in broker-dealer firms, including sales representatives, field supervisors, home office personnel and boards of directors.

Susan represents clients before the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). She also has served on FINRA’s Variable Products Committee.

Cynthia Shoss
Partner, Co-Head of Global Insurance, Eversheds Sutherland

Cynthia Shoss

Partner, Co-Head of Global Insurance, Eversheds Sutherland

Matthew Drinkwater, Ph.D., FSRI, FLMI, AFSI, PCS
Corporate Vice President and Director, LIMRA Secure Retirement Institute

Matthew Drinkwater, Ph.D., FSRI, FLMI, AFSI, PCS

Corporate Vice President and Director, LIMRA Secure Retirement Institute

Matt Drinkwater, who joined LIMRA in 1999, is corporate vice president and director of retirement research within the LIMRA Secure Retirement Institute (LIMRA SRI). He leads a team of retirement experts responsible for developing and executing LIMRA SRI’s research agenda, which covers both institutional and retail businesses.

He has led the creation of several major studies of retirement planning, retirement income planning and management, and consumer preferences for receiving advice. Drinkwater has directed several institutional retirement research projects, including studies of asset retention and the rollover market. His research on annuities has encompassed in-depth studies of product features, buyer and owner characteristics, persistency, and living benefit utilization.

He is a graduate of Trinity College (Hartford, CT) and holds a doctorate in psychology from Brown University.

Contact us to learn more:

Debbie Boone

Senior Business Unit Coordinator

LIMRA

(860) 298-3843

dboone@limra.com