10:45am -11:45 pm Chris Grgurich: Fiduciary Rule Dead: What’s Next?
12:00 pm – 1:15 pm Lunch & Member Meeting
This informative one hour course will explain the current state of regulatory discussions regarding the proposed “best interest rule,” compare to existing suitability rules, and identify other hot button issues and regulatory enforcement priorities.
- Attendees will learn the difference between the fiduciary rule, suitability rule, and the new proposed best interest rule.
- Attendees will learn the current and anticipated exam priorities of FINRA and the SEC
- Attendees will learn tips for navigating difficult customer relationships and best practices to implement to make sure they are serving customer interests and at the same time protecting themselves from future claims.
Chris Grgurich is a trial attorney and serves as Lindquist’s General Counsel.
Chris tries cases in court and arbitration involving the sale of securities, fraud,
breach of contract and fiduciary duty, shareholder disputes and other business
litigation matters. He has been counsel to numerous Special Litigation
Committees investigating claims of corporate mismanagement. Chris also assists
insurance and financial institution clients responding to State, FINRA, SEC and
other regulatory inquiries, investigations and enforcement proceedings.
As General Counsel, Chris helps other lawyers meet their professional and
ethical obligations and frequently presents at CLEs on such topics. Chris
previously served three years on the Hennepin County District Ethics Committee
and was appointed to a three year position on the Minnesota Lawyers
Professional Responsibility Board, which began February 2016.
Click HERE to read the full bio.
This program has been submitted for 1 MN insurance CE credit and 1 WI Insurance CE credit – Minnesota has been approved, Wisconsin is pending.
Please bring admission fee in cash or check payable to NAIFA Lake Superior to the event.
NAIFA Member: Complimentary
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