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NY Regulation 187- Suitability

NY Regulation 187- Suitability. AICP Great Lakes Chapter Education Day Program June 25, 2019 Madison, WI Presented by: Dan Cotter Latimer Levay Fyock LLC dcotter@llflegal.com.

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NY Regulation 187- Suitability

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  1. NY Regulation 187- Suitability AICP Great Lakes Chapter Education Day Program June 25, 2019 Madison, WIPresented by:Dan Cotter Latimer Levay Fyock LLC dcotter@llflegal.com

  2. Have you been having fun yet in trying to learn the ins and outs of New York Regulation 187 and still don’t know what New York is requiring?

  3. Agenda Introduction of the Issue Background Origins Fiduciary/DOL NY Reg 187 Where the NAIC left off on the issue Spread of 187 Federal laws vs. State initiatives Consistency- NAIC Industry/Consumer/Regulator Perspective New SEC Rule Questions

  4. Introduction of the Issue NY Reg 187 - what you need to know about the Regulation and Best Practices from companies that are implementing the requirements. What the heck is this New York DFS and other efforts all about?

  5. Background Origin Fiduciary/DOL Genesis What happened Where did this end up March 12-14, 2017

  6. New York Regulation 187 What it is What changed When effective Why it matters March 12-14, 2017

  7. NAIC efforts Where is NAIC? What is next? Where did its work leave off? March 12-14, 2017

  8. NY Reg 187- Coming to your jurisdiction? Nevada Doing something Similar to other New York efforts that spread? March 12-14, 2017

  9. Federal Laws v. State Initiatives Pushback on federal initiatives New York leading March 12-14, 2017

  10. NAIC- Consistency Current work Efforts to ensure that companies face similar obligations March 12-14, 2017

  11. Perspectives on Implementation Difficulties? Challenges? Benefits? Things can improve? Industry Consumer Regulator Perspectives March 12-14, 2017

  12. New SEC Rule How coordinates/will work with New York Reg 187 March 12-14, 2017

  13. Questions March 12-14, 2017

  14. NY Regulation 187- Suitability AICP Great Lakes Chapter Education Day Program June 25, 2019 Madison, WIPresented by:Dan Cotter Latimer Levay Fyock LLC dcotter@llflegal.com

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