INTRODUCING Roundtable Talks – A New Video Series

Posted by FP Transitions on Mar 31, 2017 8:06:49 AM

Introducing our new web series: Roundtable Talks. We’ll feature FP experts–along with some guests–sharing their opinions on what’s going on in the financial services industry.

Real experts, real opinions, no script.

Our first episode centers around the DOL Fiduciary Rule, SEC Business Continuity Amendments, & other recent regulatory concerns. Marcus Hagood and Douglas Kreft share their thoughts on the regulations themselves as well as the potential impact on the industry. Watch the preview below.

This series is an exclusive benefit to our EMS members. Not an EMS Member? Click here to learn more about the program and its benefits, including annual Valuation, Continuity, and Benchmarking Reports plus a library of resources only available as part of the Equity Management System.

What do you want to hear about? Click here to submit topic suggestions for future Roundtable Talks, blogs and resources to our Content and Resource Team.



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Topics: Webcasts, DOL, SEC, Roundtable Talks, Regulatory

Department of Labor “Fiduciary” Rule, Headwind or Hurricane?

Posted by Marcus Hagood on Mar 31, 2016 9:54:32 AM


“Change is the law of life. And those who look only to the past or present are certain to miss the future.” - John F. Kennedy

If there is one fact that I have come to appreciate in my 20 years in the financial services industry, it’s that our business is always changing. Flexibility, a strong desire to learn, and the ability to adapt are absolute necessities for survival in this ever changing environment. According to recent industry publications, an announcement on another proposed change for our industry is set to be released on April 4th. The Department of Labor fiduciary rule would represent the single, largest industry change during my career since the Gramm-Leach-Bliley Act of 1999.

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Topics: Fiduciary, Department of Labor, DOL, Sustainability