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On December 13th Vanderbilt Chief Compliance Officer, Barry Champney was invited to participate in a Round Table Discussion in New York City around the issue of The DOL Fiduciary Rule. Top CCO’s, CEO’s, Compliance Personnel, and Attorneys who are focusing on the DOL issue were invited to come together for a collaborative discussion to share insights and questions.

Lisa Roth, of Monahan & Roth, LLC has been Vanderbilt’s key compliance consultant for many years and currently serves on several FINRA boards. This October she was the Keynote Speaker at Vanderbilt’s 2016 Annual Sales and Compliance Meeting. Her presentation, “Just the Fact’s Ma’am” focused on the DOL Fiduciary Rule and what it means for Financial Advisors. Here were just some of the highlights of the best rated talk of the day:

Some of you may remember a recent blog we put out on November 11th entitled, "How Will the Election Results Affect the DOL Fiduciary Rule?" in which we asked our resident expert, Chief Compliance Officer, Barry Champney for his initial insights. Now that the dust has settled a bit, we thought it would be interesting to check in with our key Compliance Consultant of many years, Lisa Roth, of Monahan & Roth, LLC.

(photo courtesy of zazzle.com)

We asked and she answered. Check out Lisa's insights below: 

On November 30, 2016, Vanderbilt Financial Group CEO, Steve Distante was featured in an FA Magazine article written by Dan Jamieson entitled, “DOL Rule Could Force Broker Moves”. In the article, Jamieson explores the varying responses sects of the industries has had to the impending DOL Rule and highlights how Independent Broker Dealers like Vanderbilt are experiencing an influx in Financial Advisors deciding to go Independent.

Justin Lafazan is an acclaimed entrepreneur, speaker, best-selling author and consultant with three companies under his belt at just 20 years old. The Founder of Next Gen Summit and best-selling author of What Wakes You Up?, has been featured in Forbes, USA Today,The Huffington Post, Inc. Magazine and more. Justin is on a mission to inspire the world’s young people to design the lives they want to live, through entrepreneurship.