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The Countdown to June 30: Reg BI

5/13/2020 3:00 PM EDT - 4:00 PM EDT
Webinar

Overview

Who Should Watch

Chief Compliance Officers – Compliance and Internal Audit
Legal Counsel, General Counsel and Attorneys
Compliance and Market Conduct VPs, Directors, and Managers
Compliance, Market Conduct and Legal Staff
Audit and Risk Management Managers and Staff
AIRC Designees

Highlights

The Regulation Best Interest (Reg BI) implementation date of June 30, 2020 is quickly approaching. Are you ready?

Join Skip Edmonds, Head of Compliance and Regulatory Practice at LL Global for a conversation with Jon Polise, Associate Director, Broker-Dealer and Exchange Oversight from the SEC, and James Clements, Vice President and Chief Compliance Officer from Ameritas.

We’ll be looking at Reg BI from regulatory and industry angles, and talking about the things that matter to you, to help you better position your firm, even in the midst of these uncertain times.

Invite your entire team and use these sessions as a springboard for discussion in your next team or senior leadership meeting.

Moderator

Skip Edmonds
Head of Compliance and Regulatory Practice, LL Global

Skip Edmonds

Head of Compliance and Regulatory Practice, LL Global

In 2020, Skip Edmonds joined LL Global to lead its Compliance and Regulatory Services program. In this role, he is responsible for all aspects of LL Global’s Compliance and Regulatory Program. This includes product development, research, strategic networking, and the convening of member companies to resolve complex compliance and regulatory matters.  Edmonds also is responsible for leading the organization’s key strategic initiatives in the regulatory and compliance space, ensuring LL Global is positioned as a key resource for member companies.

With more than 25 years of experience, Edmonds has helped financial services companies strategically navigate the growing complexities in the regulatory space. Most recently, he held the position of chief compliance officer for Prudential’s Workplace Solutions Group, which is comprised of Prudential’s Retirement and  Group Insurance.  

Edmonds holds a Bachelor of Arts degree and a Master of Education, both from the University of Hartford. Edmonds also holds his Series 7 and 24 FINRA General Securities Principal registrations.

Presenters

James Clements
Vice President  Chief Compliance Officer and Risk Management, Ameritas Investment Company

James Clements

Vice President  Chief Compliance Officer and Risk Management, Ameritas Investment Company

James is the VP, CCO and Risk Management for Ameritas Investment Company, LLC (AIC) the broker dealer, Registered Investment Adviser, and Municipal Advisor subsidiary of Ameritas Life Insurance Corp. He currently oversees all compliance and risk management for the firm. Before becoming the CCO, He was responsible for the operational activities associated with AIC’s Wealth Management & Fiduciary Services (WM & FS) unit, an SEC Registered Investment Adviser servicing independent financial advisor and their clients. In addition to that role, he also served as the head of supervision where he was responsible for the strategy, enhancement, and oversight of the firm’s internal supervision team, external field supervision team, and fiduciary supervision team. The supervision team was tasked with delivering a robust and effective control system of supervision.
John Polise
Associate Director, Broker-Dealer and Exchange Oversight, U.S. Securities and Exchange Commission

John Polise

Associate Director, Broker-Dealer and Exchange Oversight, U.S. Securities and Exchange Commission

John Polise is the Associate Director in the Office of Compliance Inspections and Examinations new Broker-Dealer/Exchange Group (BDX). He heads the National Examination Program for registered broker-dealers and exchanges. Previously he lead the Market Oversight Group where he supervised the inspection of all domestic equity and options exchanges, the operation of FINRA, the MSRB and SIPIC. Mr. Polise has served as an Assistant Director in the SEC’s Division of Enforcement, the Division of Trading and Markets, and the Office of Compliance Inspections and Examinations. Mr. Polise was Counsel to the Chairman of the SEC, Counsel to the Chairman of the CFTC, Counsel to the Director, Division of Enforcement at the CFTC and Counsel to the Director for Markets at the SEC’s Division of Enforcement. He has held positions at FINRA in both Enforcement and Member Regulation. He began his career as an Associate at Cahill Gordon & Reindel in New York and clerked for the Honorable Stanley Sporkin, U.S. District Court for the District of Columbia. He graduated from the University of Pennsylvania, magna cum laude in 1985 and is a 1988 graduate of New York University School of Law. He has been an adjunct professor at Georgetown University School of Law and is currently an adjunct professor, teaching securities regulation at George Mason School of Law.

Contact us to learn more:

Joan O'Neil

Senior Conference Coordinator

LIMRA

(860) 285-7741

joneil@limra.com