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The DOL Fiduciary Rule - Comply, Compete and Pave the Way

On-demand webinar in partnership with Compliance Week

Runtime: 59:24

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Learn how Agreement Express can help your firm build a trail of proof into every process, while enabling advisors to build lasting relationships with clients.

Watch the webinar recording to learn:

  • DOL Rule explained: the basics, prohibitions, exemptions and impact
  • Prioritizing key fiduciary rule compliance measures and strategies for adoption
  • Building compliance into each step of the client lifecycle, while enhancing your wealth firm’s competitive edge

Panelists

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Mike Gardner

CEO
Agreement Express

Mike Gardner is the CEO of Agreement Express, the leading customer onboarding platform for the financial services industry. As a 20-year veteran of the software industry, Mike leads strategic growth at Agreement Express and serves as an advocate for meaningful digital transformation in financial services. Mike is a recognized thought leader with The Huffington Post, Globe and Mail, WealthManagement.com, and many more.

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Scott Moss

Co-Chair, Regulatory and Compliance
Lowenstein Sandler LLP

Highly respected by industry peers for his depth of regulatory knowledge, Scott Moss has counseled hundreds of investment management clients in the implementation of compliance programs, as well as in the development of plans to ensure ongoing adherence to emerging regulatory standards. He is also a prominent author and lecturer on corporate law, securities transactions, and investment management.