This educational panel will bring together experts in securities regulation and political strategy, including Valerie Mirko, former General Counsel at the North American Securities Administrators Association (NASAA); Frank Borger Gilligan, former Assistant Commissioner and Securities Director of the Tennessee Department of Commerce and Insurance; political consultant and policy strategist Doyle Bartlett, of Gray Robinson, and Anya Coverman, IPA Senior VP of Government Affairs and General Counsel. The panel will offer direct insights for RIAs on a range of hot regulatory and legislative topics, including SEC and state securities regulatory initiatives and rule proposals impacting RIAs as well as how the political environment shapes those issues and the landscape for RIAs.
The move to E-signature and straight through processing continues to improve the client onboarding and account reporting processes. This session will examine the new technology and custodial platforms that are helping advisors achieve additional scale, efficiency and effectiveness.
The syndicated 1031 exchange space is ascending to new heights, thanks to economic and demographic factors, and increasing involvement of groups like institutional real estate managers and RIAs. The panel of Delaware Statutory Trust sponsors will examine the market’s landscape, how to overcome obstacles to RIA involvement, and what you need to consider from a due diligence perspective before placing a client into a DST investment.