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SIFMA Regulation Best Interest Vendor Forum
January 16, 2020 @ 12:00 pm - 5:00 pm
isBy June 30, 2020, registered broker-dealers must comply with Regulation Best Interest; and broker-dealers and investment advisers registered with the SEC must prepare, file, and deliver to retail investors, a new customer relationship summary (Form CRS). To complement SIFMA’s Reg BI Implementation Guide, this event will provide attendees an overview of the implementation considerations, and the opportunity to interact with vendors and consultants who are developing the products, tools and services to help firms with implementation and ongoing compliance.
Oyster General Counsel Patrick M. Dennis will be attending. has been involved in the securities industry for over 30 years, most recently as one of the Founding Principals of Oyster Consulting, LLC. 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.