Understand the business and regulatory realities of a nondeposit investment program.
The offering of nondeposit investment products, as facilitated by banks and credit unions, is based upon a complex mix of banking, securities, and insurance laws and regulations. Complexity absent an understanding of the role of the bank or credit union and the role of the investment firm causes confusion. Confusion increases regulatory risk and causes employees to be uncomfortable, thereby decreasing the ability to effectively meet the customer's needs.
This presentation will help you identify and describe the role of the bank in a nondeposit investment product offering. With a clear understanding of the business and regulatory realities of a nondeposit investment program, you will be able to engage in a nondeposit investment program free from regulatory problems. Furthermore, you will be able to support the business activity of the nondeposit investment program in a manner that is more successful in meeting the client's needs and thereby supporting the bank's business interests. This presentation will provide information and tools that will be of immediate value regardless of your current understanding of nondeposit investment programs or your level of involvement in the nondeposit investment program.
Agenda
Faculty
Kevin Maas
Pohl Consulting and Training, Inc.
- President of Wealth Management Compliance Alliance™, a division of Pohl Consulting and Training, which provides a wide range of regulatory and compliance services involving wealth management to banks, registered investment advisors, and broker dealers
- 30-year veteran of applying legal, regulatory, and compliance realities to create competitive advantages for banks, registered investment advisors, and broker dealers
- As General Counsel, Chief Compliance Officer, and business unit leader for Cetera Investment Services, and later as President and CEO of ING National Trust, Kevin has been successful in guiding highly regulated organizations in a manner that enhances the firm’s legal and compliance effectiveness
- Frequent speaker at financial services conferences on legal and regulatory topics affecting wealth management and addressing the overlap of banking, FINRA, and SEC regulation
- Author of numerous articles and white papers addressing wealth management topics
- J.D. degree, William Mitchell College of Law; B.S. degree in education from South Dakota State University
- Can be contacted at [email protected] or 320-492-2759
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