Event description

*THE TIME FOR THIS EVENT HAS CHANGED TO 10:00 AM – 12:15 PM EST.  THIS EVENT WILL BE RECORDED AND AVAILABLE FOR ALL TO REWATCH IF YOU MISS IT.
10:00 AM – 11:00 AM – SESSION 1:

*Opening comments by Acting Assistant Secretary Ali Khawar

Fiduciary investment advice

  • Tim Hauser, Deputy Assistant Secretary for National Office Operations
  • Karen Lloyd, Chief, Division of Fiduciary Interpretations, Office of Regulations and Interpretations
  • Chris Cosby, Acting Director, Office of Exemption Determinations

11:00 AM – 11:15 AM – BREAK

11:15 AM – 12:15 PM –  SESSION 2:

Update on other DOL topics (ESG/proxy/PEP)

  • Jeff Turner, Deputy Director, Office of Regulations and Interpretations
  • Fred Wong, Acting Chief, Division of Regulations, Office of Regulations and Interpretations

Enforcement audits and cybersecurity

  • Elham Fayyazi, Chief, Division of Criminal Investigations, Office of Enforcement
*This event is open to regulators free of charge. Contact NSCP directly to register.  This event is closed to members of the press.

Certificates of Attendance for Continuing Education (“CE”) will not be provided for Regulatory Interchanges.

CSCP certificate holders are eligible to receive CE credit for attending NSCP Regulatory Interchanges and should manually add their attendance to their CSCP Continuing Education Worksheet.


Fees & Registration

Registration Type Price
Members Free
Non-Members $100
 
Become a member of NSCP to attend free webinars and receive other member benefits:  LEARN MORE