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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.

What a week! Many things about this week are extraordinary, game changing, and uncertain - so naturally everyone has a lot of new questions to think about. One of the questions our industry has right now, is “How will the election results affect the DOL Fiduciary Rule?” To start attempting to find an answer to this complicated and important question, we turned to our resident expert and Chief Compliance Officer, Barry Champney for some of his initial insights.