Events
Joseph Walker Speaking at the FRA 2nd Annual Managed Accounts Compliance Forum
UNAPEN CEO will address the Managed Accounts Industry in Boston on November 30, 2005
Wallingford, CT: October 31, 2005—Joseph Walker, CEO of UNAPEN, Inc.—a Connecticut-based consulting and software firm focused on the Financial Services Industry—will be a speaker at FRA Managed Accounts Compliance Forum on November 30, 2005 at The Hyatt Regency in Boston presented by Financial Research Associates, LLC. The discussion is entitled “Best Practices for the Assessment of Suitability”. See below for schedule and details.
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2:45 PM, Wednesday, November 30, 2005
Best Practices for the Assessment of Suitability
Today’s managed account platforms offer a wide variety of investment solutions. As firms develop the capability to deliver true “unified managed accounts,” incorporating multiple investment vehicles in a single account, the variety of products available will increase dramatically in the future. Delivery of these increasingly complex products to investors requires the coordination of efforts among advisors, sponsors, managers, and other service providers. New issues regarding suitability determination are raised as these parties work together to deliver more sophisticated investment solutions.
Who is responsible for determining suitability of managed account products?
Can responsibility for suitability determination be effectively delegated?
What practical limitations must you overcome in assessing suitability?
What are best practices for assessing suitability by advisors, sponsors, and managers?
What new trends in the industry are likely to raise new suitability issues in the future?
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