Regulator Panel


 Joel Miller
Senior Advisor
Asset Management Division – OCC
Washington, D.C.

James Dow
Director - Wealth Management & Operations Risk
Dept. of Supervision & Regulation
FEDERAL RESERVE BANK OF ATLANTA
Atlanta, Georgia

Diana S. Brannon
Examination Specialist - Trust
FDIC
San Francisco, California

Daniel Stefek
District Director
FINRA
Atlanta, Georgia

Askari Foy
Associate Regional Director
SECURITIES AND EXCHANGE COMMISSION
Atlanta , Georgia


This is always a valuable and not-to-miss session with our primary federal regulators. These agency leaders will share their current fiduciary examination and policy initiatives, each responding respectively to a series of questions posed by FIRMA. This unique format will allow attendees to hear how each agency is addressing financial reform.

Click here for speakerbiography - Diana S. Brannon

Click here for speaker biography - James Dow

Click here for speaker biography - Askari Foy

Click here for speaker biography - Joel Miller

Click here for speaker biography - Daniel Stefek

Click here  for PowerPoint presentation - Diana S. Brannon

Click here  for PowerPoint presentation - James Dow

Click here for PowerPoint presentation - Joel Miller

No other session materials are available