1:15-2:15 p.m. - Regulation Focus
Andrew "Buddy" Donohue, partner at Morgan Lewis, talked about which of the Dodd-Frank mandates he expects will emerge along with areas of additional scrutiny he expects to see from the SEC in the current year.
2:30-3:30 p.m. - Practice Management Focus: Transitions
Philip Palaveev, President of Fusion Advisor Network, and Richard Whitworth, Senior Manager of TD Ameritrade Institutional, led a very popular and engaging panel discussion on practice management. Key areas of interest from the audience were on how to structure a practice management offering in terms of people, technology and resources, along with ways to help transition advisors from traditional transactional models to financial planning, fee-based models.
3:45-5:00 p.m. - What Drives Investor Trust?
Sullivan and Northstar Research Partners shared expert insights from their ongoing research on investor trust. Some of the more interesting takeaways were in which types of words investors respond either negatively or positively. Some of them were quite surprising, such as the word “dreams” which appears in almost all financial services marketing materials and which has somewhat of an “unbelievable” connotation with investors.