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Brokers Try To Prepare For DOL Rule

March 15, 2016

MARCH 1, 2016 |

As the independent broker-dealer community braces for the U.S. Department of Labor’s finalized fiduciary rule, companies are contemplating the potential ramifications for the industry at large and for their firms in particular.

“I think training will be a huge, complex component related to this particular initiative,” said Paul Sankovich, chief compliance officer at Wells Fargo Advisors Financial Network. He spoke at this winter’s Financial Services Institute’s OneVoice conference in Orlando, Fla., on a panel focused on handling orphaned accounts in the post-DOL world. 

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Second Annual Blue Vault Broker Dealer Educational Summit 2016
Broker Dealer Educational Summit 2016
April 14, 2016

The Blue Vault Summit could not have been more perfectly timed. This gathering of the Broker Dealer and Sponsor communities provided insightful and open discussion from several vantage points. These conversations are paramount, especially in a time of significant regulatory change.