Podcasts about interest rule

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Best podcasts about interest rule

Latest podcast episodes about interest rule

Securitization Insight
Ep 58 - The SEC's Conflict of Interest Rule

Securitization Insight

Play Episode Listen Later Apr 9, 2024 15:11


Joe Lau, Chief Operating Officer of Lord Capital joins Patrick Dolan to discuss the SEC's new Conflict of Interest Rule and its impact on investors. Joe sheds light on investor considerations surrounding C-PACE assets and shares insight on the implications of the Structured Finance Association's comment letter on Basel III implementation. We also evaluate the significance of “Green Bond” designations for renewable ABS, and consider the effects of the US Risk Retention Rule and Rule 17g-5 on investor protection and transparency. Lastly, we discuss the recent removal of the Cayman Islands from the EU Anti-Money Laundering (AML) list and its potential implications for investors.  Listen and subscribe to the Securitization Insight podcast on Apple Podcasts, Spotify, or your preferred podcast app.

Global Financial Markets Podcast by Mayer Brown
SEC Adopts Conflict of Interest Rule for Asset-Backed Securities

Global Financial Markets Podcast by Mayer Brown

Play Episode Listen Later Dec 19, 2023 31:39


The authors of our recent Legal Update provide an overview of the SEC's (Securities and Exchange Commission) recently adopted rule, which prohibits conflicts of interest in certain securitizations as required under the Dodd-Frank Act. Although not perfect, the final rule is a significant improvement over the proposal. However, all securitization participants will need to assess their securitization programs and implement various compliance programs before the final rule becomes effective on June 9, 2025. Please join Mayer Brown lawyers Stuart Litwin, Christopher Horn and Michelle Stasny as they discuss the recently adopted rule.

Securitization Insight
EP 45 - SEC's Conflict of Interest Rule

Securitization Insight

Play Episode Listen Later Jul 12, 2023 22:07


Kristi Leo, president of the Structured Finance Association (SFA), returns to speak with host Patrick Dolan about the SEC's proposed conflict of interest rule. The rule would prohibit securitization participants from engaging in transactions that could incentivize a participant to structure an asset-backed security to put their interests ahead of other investors.We discuss SFA's proposed revisions to the rule, including changes to several definitions such as “conflicted transaction” and “synthetic asset-backed security,” carve outs to the definition of “sponsor”, additional guidance to help clarify the more ambiguous provisions and more.

Global Financial Markets Podcast by Mayer Brown
SEC Re-Proposes Conflict of Interest Rule for Asset-Backed Securities

Global Financial Markets Podcast by Mayer Brown

Play Episode Listen Later Feb 23, 2023 24:40


Please join us as the authors of our recent Legal Update provide an overview of the SEC's (Securities and Exchange Commission) recently proposed rule to prohibit conflicts of interest in certain securitizations as required under the Dodd-Frank Act. A re-proposal of a 2011 proposed rule, the re-proposal shares some of the same issues and concerns and may be even worse in some respects. If adopted as re-proposed, the rule's prohibition would have profound consequences for securitization markets.  

Tax Tip Spotify Podcast and/or WordPress Blog Post by Don Fitch, CPA
Tax Tip Podcast or Blog Post with a Trade or Business Subject to Carried Interest Rule with Examples (Code Section 1061)

Tax Tip Spotify Podcast and/or WordPress Blog Post by Don Fitch, CPA

Play Episode Listen Later Apr 18, 2021 11:26


This episode is also available as a blog post: https://paylesstax.com/2021/03/06/tax-tip-trade-or-business-subject-to-carried-interest-rule-with-examples-code-section-1061/ --- Send in a voice message: https://anchor.fm/don-fitch/message

The Advisor Arena
DOL and NAIC Best Interest Rule

The Advisor Arena

Play Episode Listen Later Mar 18, 2021


Don't listen to the all the noise others are creating out there to snag your attention. We outline everything you need to know, what you don't need to worry about and what you should be doing with every client to protect your business.

best interest naic interest rule
New Focus on Wealth with Chad Burton
The SEC’s‘ best interest’ rule is making headlines. Can they do what the DOL was unable to do?

New Focus on Wealth with Chad Burton

Play Episode Listen Later Jun 25, 2019 37:43


The SEC ‘best interest’ rule has been a big issue in the world of financial planning and is starting to make mainstream headlines. What does this new rule entail and what does it mean for financial planners and the people they help? Other topics: Why costs matter when it comes to the investments you choose Retirement income and tax planning strategies Why do annuities even exist?     Join Rob Black and I for our Retirement Income and Tax Planning seminar at the Elks Lodge in Palo Alto on Thursday, July 11th. Registration is only $25 so click HERE to sign up!   Email your money question to chad@newfocusfinancial.com , or call the show at 1-800-516-1220 on Tuesday's and Wednesday's from 6:00-7:00 a.m. (PDT)   Call 1-888-762-2423 for Wealth Management and Financial Planning services or visit www.NewFocusFinancial.com.

Inglorious Finance
Episode 2 - What the Heck is a Fiduciary?

Inglorious Finance

Play Episode Listen Later Nov 20, 2017 28:08


The US Department of Labor's Conflict of Interest Rule - dubbed the "Fiduciary Rule" - is slowly taking effect. Join Patrick and Mike as they discuss what it means to be a fiduciary & what it means to investors.   www.ingloriousfinance.com https://twitter.com/IngloriousFin https://www.facebook.com/IngloriousFinance/ Opinions Expressed are those of the speakers and not necessarily those of Raymond James. Securities offered through Raymond James Financial Services, Inc. Member FINRA / SIPC. Investment Advisory Services offered through Raymond James Financial Services Advisors, Inc. Macco Financial Group is not a registered broker/dealer, and is independent of Raymond James Financial Services.

Teach and Retire Rich - The podcast for teachers, professors and financial professionals

Micah Hauptman is the financial services counsel at the Consumer Federation of America. Micah and his organization are fighting to save the Department of Labor’s Conflict of Interest Rule (a.k.a. the fiduciary standard) which is under assault by the Trump administration. Micah Hauptman Conflict of Interest Rule Fact Sheet Email comments to: EBSA.FiduciaryRuleExamination@dol.gov. Include RIN 1210-AB79 in the subject line of the message. To President-Elect Trump: What If Everything You’ve Been Told About the DOL Fiduciary Rule Is Wrong? The Committee For The Fiduciary Standard 403(b)wise Meridian Wealth Management  

Fi360 Fiduciary Talk
Fi360 Fiduciary Talk 44: DOL Releases Second Set of FAQs

Fi360 Fiduciary Talk

Play Episode Listen Later Feb 2, 2017


In this episode, Blaine and Duane discuss the release of a second set of FAQs from the DOL on its Conflicts of Interest Rule. The new FAQs cover a number of scenarios, with a particular focus on activities that would not be considered fiduciary recommendations under the new definition.

RIAcast
Episode 4: Interview with Veteran Recruiter Mindy Diamond of Diamond Consulting

RIAcast

Play Episode Listen Later Sep 20, 2016 26:14


In this episode, we speak with veteran financial services industry recruiter Mindy Diamond of Diamond Consultants. Mindy discusses, among other things: *Best Business Life *How she approaches difficult clients * Placing financial advisors today versus 10 years ago * Transitional mistakes in thinking she commonly encounters * How the Department of Labor Conflict of Interest Rule will impact adviser movement * The most rewarding event of her career

veterans consulting recruiters mindy diamond interest rule
401(k) Fridays Podcast
401(k) Fiduciary Fundamentals and Freebies!

401(k) Fridays Podcast

Play Episode Listen Later Aug 18, 2016 68:21


Episode Summary If you have been involved in working with retirement benefit plans over the last several years, you have probably been told more times than you can remember that your 401(k) plan comes with fiduciary responsibility.  You also have likely noticed the proliferation of 401(k) lawsuits, and that the DOL has released their new Conflict of Interest rule which redefines how one can become a fiduciary.  With all of this going on, and the questions that have ensued, I thought it would be a good time to have Blaine AIkin, the Executive Chairman of Fi360, help provide some clarity.  Fi360 is the industry leader in providing fiduciary education and training to individuals and organizations in the financial services industry to develop prudent fiduciary practices and promote a fiduciary standard of care.  Our conversation covers how employers can use fiduciary safe harbors to limit their fiduciary liability, the importance of having your fiduciary processes nailed and things to do and not to do as a plan fiduciary.  Blaine also has some great quotes in the episode such as, there is nothing passive about being a retirement plan fiduciary, you have the fiduciary obligation to not waste money and with the new DOL Conflict of Interest Rule, a non-fiduciary advisor is now a contradiction in terms.  Last but not least, I am excited to announce that this and other episodes of the podcast have been submitted for HR recertification credits.  To see episodes that are pre-approved or have been submitted for approval please go to www.401kfridays.com/CE. Guest Bio Blaine Aikin's goal as Executive Chairman of fi360, is to assure that fi360 provides exceptional professional development programs, investment and business management tools, and business and industry thought leadership to improve the decision making of those who manage money on behalf of others. fi360 seeks to promote a culture of fiduciary responsibility to align the interests of investors and investment professionals. fi360 helps its clients gather, grow, and protect assets through better investment and business decision-making. Since 1999, fi360 has been providing innovative solutions to financial services providers. We offer the AIF®, AIFA®, and PPC designation programs, the fi360 Toolkit™ software, and fi360 Fiduciary Score®. Ann Schleck and Co., a division of fi360, adds strategic growth support. Additional fi360 capabilities include fiduciary assessments and practice management and compliance. Career financial services professional with experience in government (U.S. Treasury Department and as Budget Officer of Prince William County, Virginia), investment advisory practice (Principal and CIO of independent advisory firm), and financial product and service management (bank trust department, brokerage, and institutional offerings). 401(k) Fridays Podcast Overview Helps employers navigate the evolving retirement benefits landscape through weekly engaging interviews with industry leaders, subject matter experts and progressive employers with varying viewpoints. The diverse in-depth perspectives and relevant topics help employers make more informed decisions about their retirement benefit programs which will positively impact their employees and business.  For more information please visit www.401kfridays.com/podcasts  

401(k) Fridays Podcast
New DOL Conflict of Interest Rule: What Employers Should Know

401(k) Fridays Podcast

Play Episode Listen Later Apr 29, 2016 39:45


Episode Summary The new DOL Conflict of Interest Rule, what is also being referred to as the new DOL Fiduciary Rule, has introduced changes that some are calling the most significant since the introduction of ERISA over 40 years ago.  While the rule will have a phased effective date beginning in April 2017, there are multiple items employers should begin exploring now. As usual, Sam does a great job of extracting specific elements of the 1100 page rule that employers should be aware of and provides questions to ask today along with specific next steps.   Guest Bio Sam Henson, is a Vice President and Director of Legislative & Regulatory Affairs for Lockton Retirement Services.  Sam also brings a unique perspective to our discussion today as prior to joining Lockton, he spent almost 10 years with the U.S. Department of Labor’s Employee Benefits Security Administration (EBSA), where he conducted more than 150 civil and criminal investigations of employee retirement and benefits plans, service providers, and fiduciaries.  He capped off his career at the DOL as the 2011 recipient of the Secretary of Labor’s Exceptional Achievement Award.  Needless to say, we are glad we have Sam on our side now and he is not out there banging down the doors of employers any more! 401(k) Fridays Podcast Overview Offers companies of all sizes free strategic, educational and actionable content to improve  their retirement plans.  My name is Rick Unser and I am your host.  All episodes leverage my nearly two decades of experience working with employers to bring you candid interviews with industry experts to enhance Fiduciary Protection, streamline Plan Operations and improve employee Retirement Readiness.   For more information please visit www.401kfridays.com