Event

SIFMA 43rd Annual Operations Conference

May 02, 2016 {ml-event-to} May 05, 2016

Dan Kleinman spoke on the panel “DOL: What You Need to Know.” Dan and additional panelists discussed the adoption of the DOL’s Fiduciary requirement, and its substantive impact on operational processes for both buy- and sell-side firms. As business models shift in reaction to the new requirements, asset managers and wealth management firms will be required to make significant programming and other operational changes in order to successfully adapt their business models to the new paradigm introduced by the DOL.