Fiduciary Risk: Unforeseen Challenges for Advisors and Clients Serving as Fiduciaries
THE RESERVATION DEADLINE FOR THIS EVENT HAS PASSED. YOU ARE WELCOME TO COME AS A WALK-IN ON THE DAY OF THE MEETING BUT WILL NOT BE GUARANTEED A MEAL.
BREAKFAST MEETING
THURSDAY, MAY 3, 2012
(Breakfast served 7:30 – 8:00 a.m.; Program 8:00 – 9:00)
FAIRMONT HOTEL
1717 North Akard,
RESERVATION DEADLINE: FRIDAY, APRIL 27 (IN COUNCIL’S OFFICE)
“Fiduciary Risk Overview: Unforeseen Challenges for Advisors
and Clients Serving as Fiduciaries
JOAN CRAIN
As our clients' trusted advisor, we are often asked to serve in various roles in their wealth plans. We are also frequently consulted when our clients are considering taking on these roles themselves. For our own protection as well as that of our clients, it is important that we understand the evolving responsibilities - and liabilities - inherent in these duties. This presentation will explore the risks of what are increasingly being classified as fiduciary appointments, ways to mitigate the risks, and alternatives to taking on these roles. Joan Crain, CFP is a senior director of BNY Mellon Wealth Management. As a national wealth strategist, Joan works closely with portfolio managers, sales officers and advisors to provide comprehensive wealth management to clients and their families. Joan joined the firm in 2001 and has more than 25 years of experience in financial services, banking, and investments. Joan specializes in retirement, business succession and philanthropic planning. She has considerable experience working with large multi-generational families. She is frequently invited to speak to professional and client groups.
1 hour of continuing ed credit pending.
Note: Paid membership dues do not include meals. To register for the meeting, complete the form below, enclose a check (payable to
PREPAID MEALS: Members who have already paid in advance for all meetings for the year MUST register so we will have a count for the number of meals to prepare and number of outlines to print (you can send an email to dallasepc@yahoo.com). THERE WILL BE 10 MEALS AVAILABLE FOR WALK-INS ON DAY OF MEETING (FIRST COME, FIRST SERVE). ALL OTHER WALK-INS WILL BE “PROGRAM ONLY”. NO CREDIT CARDS ARE ACCEPTED AT THE DOOR, CASH OR CHECK ONLY.
Member: $37 (includes meal and program); Guest: $60 (includes meal and program);*Member-Program Only: $25 (*ONLY MEMBERS may choose “program only” for $25).
Name: ________________________________________
____$37 ___$60 ____$25 (Member-Program Only)
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Name: ________________________________________
____$37 ___$60 ____$25 (Member-Program Only)
E-mail: ________________________________________
Phone No: _____________________________________
SPONSORS: We would like to thank the following meeting sponsors: Baylor Health Care System Foundation, BNY Mellon Wealth Management, Dallas Women’s Foundation, Jackson Walker, Kirsch & Associates, Parkland Foundation, Quest Capital Management, Inc., The Catholic Foundation and Tolleson Wealth Management
PATRONS: We would like to thank the following patrons for their support: Bisignano & Harrison, LLP, Heritage Auctions, Quest Capital Management, Inc., The Catholic Foundation, and Weaver
