Post on 31-Jul-2015
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BD– Insurance Distribution Broker-Dealer Issues
Monday, October 20, 2014Session 3b
1:15 pm – 2:15 pm
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The Whole World Looks Like a Nail
• Proprietary products• Wholesaler issues• Non-cash compensation
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ERISADOLFINRASECSTATES
• Retirement plan services
• IRA rollovers• Fiduciary issues
The investor and you.
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Walks, Quacks, Acts…
• Suitability / Appropriateness
• Registration / License
• Supervision / Liability
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Questions
Courtney JohnChief Compliance Officer
Transamerica Capital, Inc.
Office Phone: (720) 493-4044
e-mail: Cjohn@transamerica.com
Stephen SelbyAssistant Vice President
Social Media Strategy & Regulator Relations
Office Phone: (860) 285-7858
e:mail: sselby@LIMRA.com
Twitter: @LIMRA_CRS
LinkedIn:
http://www.linkedin.com/in/stephenselby