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NAIFA Lake Superior November Member Meeting
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11/9/2018
When: Friday, November 9, 2018
10:45am - 1:15pm
Where: Kitchi Gammi Club
831 W Superior Street
Duluth, Minnesota  55802
United States
Contact: Joe Koehler
(715) 718-0900


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Agenda

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.

Learning Objectives

  1. Attendees will learn the difference between the fiduciary rule, suitability rule, and the new proposed best interest rule.
  2. Attendees will learn the current and anticipated exam priorities of FINRA and the SEC
  3. 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.

Speaker

Christopher Grgurich

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.

CE Credits

This program has been submitted for 1 MN insurance CE credit and 1 WI Insurance CE credit – Minnesota has been approved, Wisconsin is pending.

Fees

Please bring admission fee in cash or check payable to NAIFA Lake Superior to the event.

NAIFA Member: Complimentary
Non-Member: $15


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Cancellation Policy: N/A

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    National Association of Insurance and Financial Advisers of Minnesota

    1000 Westgate Drive, Suite 252, St. Paul, MN 55114
    Phone: (651) 366-6091 | Fax: (651) 290-2266
    Email: naifa@naifa-mn.org | Site Map

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