IRI_GLRC_HORZ

Preliminary Agenda as of May 23, 2017

Download the PDF here

Sunday June 11

5:30pm - 6:30pm

Welcome Reception


Monday June 12

8:00am-9:30am

Breakfast – Sponsored by Jackson National Life


8:30am-8:45am

Welcome Remarks   +  <--  Click to expand content.

J. Lee Covington II
Senior Vice President & General Counsel
Insured Retirement Institute (IRI)

Andrew J. Bowden
Senior Vice President & General Counsel
Jackson National Life Insurance Company
Co-Chairman
IRI GLRC 2017 Planning Committee


8:45am-9:15am

A View from the Top    +


9:15am-9:40am

Federal Securities Regulation in 2017 and Beyond   +


9:40am-10:00am

FINRA: The Road Ahead   +


10:00am-11:00am

[DOL Fiduciary Rule]   +


11:00am-11:30am

Break


11:30am-12:30pm

Breakout Sessions

Innovation in the Fixed and Fixed Indexed Annuity Marketplace (repeats)   +

The Evolving Variable Annuity Market (repeats)   +

Emerging Issues in State Insurance and Securities Regulation(repeats)   +

Cybersecurity Update: Managing Regulatory Challenges   +


12:30pm-2:00pm

Lunch


2:00pm-3:00pm

Breakout Sessions

Innovation in the Fixed and Fixed Indexed Annuity Marketplace (repeats)   +

The Evolving Variable Annuity Market (repeats)   +

Emerging Issues in State Insurance and Securities Regulation(repeats)   +

[eCommerce]   +


3:00pm-3:15pm

Break

3:15pm-4:15pm

The Hottest Litigation Topics from the Year in Review   +


4:15pm-4:45pm

A View from Capitol Hill: Regulatory Reform   +

Off the record


4:45pm-5:15pm

A View from Capitol Hill: Tax Reform   +

Off the record

5:15pm-5:20pm

Closing Remarks   +


5:30pm-6:30pm

Networking ReceptionSponsored by Dechert LLP


Tuesday June 13

8:00am-9:30am

Breakfast – Sponsored by Donnelley Financial Solutions


8:30am–8:45am

Welcome Remarks   +


8:45am–9:15am

Retirement Security and the Future of State Insurance Regulation: The Latest from the NAIC   +


9:15am–9:45am

A View from NASAA: Emerging Issues in State Securities Regulation   +


9:45am-10:45am

Exploring the Latest Federal Regulatory Trends Affecting Variable Products and Underlying Funds   +


10:45am-11:00am

Break


11:00am–12:00pm

Breakout Sessions

Rules and Best Practices to Prevent the Exploitation of Older Investors   +

Hot Topics Involving Retirement Plans and ERISA   +

What is FinTech, and Why Should it Matter to You?   +

Globalization of the Insurance Industry   +


12:00pm-1:30pm

Lunch Break


1:30pm-2:30pm

Current SEC and FINRA Examination Priorities and Recent Enforcement Developments   +


2:30pm-3:30pm

Trends in Political Giving and Strategic Corporate Fundraising   +


3:30pm-3:40pm

Closing Remarks   +


Wednesday June 14

9:00 am–4:00 pm

DOL Implementation Workshop

Co-sponsored by Eversheds Sutherland and Groom Law Group
Closed to Press and Regulators

Building on the high-level discussions of the DOL fiduciary rule during the main conference, the DOL Implementation Workshop will take a deeper dive on the issues and challenges IRI members will face as they prepare for life under the new rule. The Workshop will also include discussions regarding recent litigation and enforcement activity, as well as efforts to expand retirement savers' access to and use of lifetime income solutions. The DOL Implementation Workshop will be co-led by Mark Smith from Eversheds Sutherland and Tom Roberts from Groom Law Group.

Moderators:
Mark Smith
Partner
Eversheds Sutherland

Thomas Roberts
Partner
Groom Law Group

Agenda  +

8:30 am – 9:00 am Continental Breakfast

9:00 am –10:15 am Washington Update

  • DOL developments
  • The RFI and where it may lead
  • The potential for a Transition Period extension
  • The outlook in Congress, including the CHOICE Act and potential tax reform
  • The road ahead and potential changes to the rule

10:15 am – 10:30 am Pie Break

10:30 am – 12:00 pm Doing Business in the Transition Period

  • The Independent Fiduciary Exception – managing the process including pros and cons of negative consents
  • “Working Diligently and in Good Faith” – a discussion of the DOL’s temporary enforcement policy and how to manage to it
  • Sources of potential liability exposure; risk mitigation practices

12:00 pm – 1:00 pm Networking Lunch

1:00 pm – 1:45 pm Prohibited Transaction Exemptive Relief Strategies

  • BIC Exemption Transition Relief – what’s covered and what’s required
  • PTE 84-24 as an alternative source of relief
  • BIC Section VI relief for non-fiduciary product manufacturers
  • Grandfathering Relief and the “gap” problem 
  • Orphaned account servicing strategies

1:45 pm – 2:30 pm Adviser Compensation in the Transition Period

  • Compensation change considerations – implementing, postponing and reversing certain changes
  • Enhanced supervision and back-end monitoring
  • Trips and conference credits

2:30 pm – 2:45 am Break

2:45 pm – 3:15 pm Other Issues

  • “Clean” shares and T shares
  • Wrap fee programs
  • Life insurance issues

4:15 pm Adjournment