Fiduciary Risk Management
- Examination of Fiduciary Risk Events/Causes /Preventives
- Review of Suitability and Disclosure Standards

Duration: 60 Minutes
All firms and persons acting in a fiduciary capacity with respect to a function they perform must fully understand the duties and responsibilities of serving in a fiduciary capacity, what constitutes fiduciary failure and the consequences of such failure. It's therefore imperative that fiduciaries understand the risks associated with being a fiduciary, the conditions that can give rise to a fiduciary risk event and the risk management processes that should exist to manage fiduciary risk.
Fiduciary Risk Management
Instructor: Robert Geary
Product ID: 504622
Objectives of the Presentation
  • Provide an understanding of fiduciary roles and fiduciary risk
  • Provide an understanding of fiduciary risk conditions and fiduciary risk events
  • Provide an understanding of fiduciary risk consequences
  • Provide an understanding of fiduciary-like responsibilities
  • Establish the functions that contain fiduciary responsibilities
  • Site the laws and regulations that govern fiduciary activities
  • Provide an understanding of potential causes of fiduciary risk events within fiduciary functions
  • Provide a focus on suitability and disclosure as potential causes of fiduciary risk events
  • Address the recent DOL Fiduciary Rule
Why Should you Attend
This training must be attended by persons who serve in a fiduciary capacity as individuals or as members of a fiduciary activity within business as well as individuals who serve in a senior management, risk management, compliance or audit oversight capacity of activities with fiduciary responsibilities. This training would also be of value to regulators who also must address businesses with fiduciary activities under their supervision as well as colleges and universities with risk management as part of a degree curriculum.

Who will Benefit
  • Asset Management firms
    • Senior Management
    • Relationship Managers
    • Investment Managers
    • Risk Managers
    • Compliance Officers
    • Auditors
  • Private Banks
    • Senior Management
    • Relationship Managers
    • Risk Managers
    • Compliance Officers
    • Auditors
  • Commercial Banks
    • Personal Trust Officers
    • Corporate Trust Officers
    • Investor Services Officers
  • Broker/Dealers
  • Trustees
  • Investment Advisors & Insurance Agents
Topic Background
Many firms have business activities that are fiduciary in nature and it is critical these firms have staff, who understand their fiduciary responsibilities and are trained. It is also important that the management of these firms and staff with oversight responsibilities are also well educated in the firm's fiduciary responsibilities.
$300
Recorded Session for one participant
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Recorded Session - How it works
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  • Upon purchase of the recorded session a link will be updated on your OCP Account within 24 hours
  • Please click on the link to access the Recorded Session
  • Presentation handouts in downloadable PDF format will be updated on your OCP Account within 24 hours of the purchase of the product
  • Download the Certificate of Attendance and Purchase Invoice from your OCP Account after 48 hours of the product Purchase
  • Please share your valuable Feedback at the end of the session
Instructor Profile:
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 Fiduciary Risk Management for the Corporation. During Robert's career he has served on the Board of Directors of Chase Manhattan Overseas Banking Corporation as well as having served on numerous senior committees. Prior to joining Chase, he held positions at Chemical Bank, Chrysler Financial Corporation and National Bank of North America.

Robert holds a BA degree in Economics from Pace University and did graduate studies in finance at New York University Graduate School of Business. He is a Past President of the New York Athletic Club and iscurrently a member of the Executive Advisory Board of St. John's University Department of Accounting and Taxation.


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