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SIFMA Regulation Best Interest Seminar
July 10, 2019 @ 8:00 am - 12:00 pm
Oyster Consulting General Counsel Patrick M. Dennis will be attending SIFMA’s Reg BI Seminar. The program will provide insight into the final rule and related actions and feature SEC Commissioner, The Honorable Hester M. Peirce; SEC Directors from the Trading and Markets Division and the Investment Management Division; and panel discussions.
Patrick M. Dennis has been involved in the securities industry for over 30 years, most recently as one of the Founding Principals of Oyster Consulting, LLC, a compliance, regulatory, operations, clearing advisory, software and technology consulting firm for broker-dealers, investment advisers, mutual funds and hedge funds. Previously, Patrick was a Senior Vice President and Assistant General Counsel to Wachovia Securities, LLC (now Wells Fargo Advisors), or its predecessors. Patrick moved to Wells Fargo in 1998, where he was in charge of all litigation and regulatory matters affecting the retail brokerage firm. He managed securities litigation and arbitration matters until 2003 when he moved into a Senior Regulatory Counsel position. In that capacity, he handled a number of high-profile regulatory matters for the firm including, mutual fund breakpoints, mutual fund market timing, inactive fee-based accounts and closed end funds. Patrick also served as Senior Regulatory Counsel to Wachovia’s Investment Advisory line of business.