Fiduciary risk management starts with knowing what serving in a fiduciary capacity requires. Any firm or person acting as a fiduciary must understand their duties, what counts as fiduciary failure and what follows from it.
This 60-minute webinar explains fiduciary roles and fiduciary-like responsibilities, the conditions that can trigger a fiduciary risk event, and the risk management processes that should be in place. It focuses on suitability and disclosure as common causes of risk events, identifies the functions that carry fiduciary duties, cites the laws and regulations that govern fiduciary activity, and addresses the DOL Fiduciary Rule.
Fiduciary failure carries serious consequences, so anyone with fiduciary duties, or oversight of them, needs a clear view of where risk arises.
This session suits individual fiduciaries and fiduciary business staff, senior managers, risk, compliance and audit professionals overseeing fiduciary activities, investment management and private bank leaders, trustees, regulators, and colleges teaching risk management.
Fiduciary failure carries serious consequences, so anyone with fiduciary duties, or oversight of them, needs a clear view of where risk arises.
This session suits individual fiduciaries and fiduciary business staff, senior managers, risk, compliance and audit professionals overseeing fiduciary activities, investment management and private bank leaders, trustees, regulators, and colleges teaching risk management.
Robert Geary
Robert Geary is the founder of Greenwich Risk Management Advisory Services "LLC" and services as the principal consultant on many of the firm's consultancy mandates.Robert has been a banking and finance industry professional for 43 years with 34 years serving in a variety of senior Treasury, financial market, asset management and risk management roles at JP Morgan Chase & Co. For the last 6 years of his career with JP Morgan Chase, Robert had undertaken risk management oversight roles that have included Head of Market, Credit and Operational Risk Management for Chase Asset Management and being Managing Director of …
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