SOURCE: MarketCounsel

October 01, 2015 07:00 ET

The MarketCounsel Summit Announces Regulatory Headliners

ENGLEWOOD, NJ--(Marketwired - October 01, 2015) -

  • Spencer Bachus, former Representative for the State of Alabama from 1993 - 2015, will take the stage with H. David Kotz, Inspector General of the SEC from 2007 to 2012
  • Troy Paredes, SEC Commissioner from 2008 to 2013, to speak about regulatory enforcement
  • The Market Counsel Summit (#MSUM15) will include a focus on regulatory issues facing independent financial advisers

MarketCounsel, the leading business and regulatory compliance consulting firm to the country's preeminent entrepreneurial investment advisors, today makes its first announcement of speakers, electing to address financial industry regulation in Miami Beach, from Dec. 7th to 10th, 2015 (www.mcsummit.com).

The speakers announced today include:

- Congressman Spencer Bachus, the former Representative for the State of Alabama from 1993 - 2015, and the leading Republican on the House Financial Services Committee from 2006 to 2012. Among many notable acts taken while in office, Mr. Bachus, as ranking member on the House Financial Services Committee, was the catalyst behind the move to "improve" investment adviser examinations.

- H. David Kotz, the Inspector General of the SEC from 2007 to 2012. During Mr. Kotz' tenure at the SEC, he became known for his aggressive scrutiny of the industry regulator. He was the lead investigator during some very interesting times including the SEC's handling of the Bernie Madoff Ponzi scheme and has since written about redundant and even conflicting regulations within the industry.

- Troy Paredes, SEC Commissioner from 2008 to 2013 and current lecturer at Harvard Law School. Mr. Paredes was an outspoken and disruptive voice against the status quo. He took the position that the SEC should recommend best practices and leave compliance up to the industry, arguing against a "one-size-fits all" approach to regulating advisers. Most recently, he has challenged regulators in the face of the proposed DOL fiduciary rule with the concept that a cost-benefit analysis needs to be a component of every new rule. Paredes says that no one should be given a free pass but that at the same time resources allocated to broken windows means regulators have fewer resources to "pursue matters of greater culpability."

"We are excited to finally reveal the first wave of headliners for this year's MarketCounsel Summit," said Brian Hamburger, President and CEO of MarketCounsel. "Each of these people have a distinctive perspective shaped by depth of experience for this industry, both at the SEC and in the Congress. We look forward to strong contributions to the dialogue."

MarketCounsel will continue to announce its agenda in the remaining months leading up to the Summit. Hamburger continues: "Our approach to assembling a conference has always been atypical -- we look for topics and speakers throughout the year and we are assembling it as close to the event as possible to ensure the most captivating curriculum. That difference, along with our separation between sponsors and content, is what's drawn the attention of sophisticated leaders within the space for the past several years. They're keenly aware of the value of their time."

This year's MarketCounsel Summit will be held at the Fontainebleau Hotel, Miami Beach from December 7th-11th, 2015. www.mcsummit.com

To speak with a MarketCounsel spokesperson regarding this news release, or to register as a member of the press for the MarketCounsel Summit, contact: marketcounsel@ficommpartners.com

About MarketCounsel

MarketCounsel is the leading business and regulatory consultancy to the country's preeminent independent investment advisers at all stages throughout their lifecycle. From its roots in 2000, MarketCounsel has been steadfast in its mission to deliver solutions to the most substantial challenges faced by entrepreneurs in this fast-growing and highly-regulated industry, and it has emerged as one of its most effective advocates.

From the initial launch of a registered investment adviser to its compliance management platform, and from its business growth to its succession strategies, MarketCounsel consistently delivers trusted counsel within an extraordinary service model by leveraging the finest minds in the industry, advanced technologies and sound business processes. The consultancy's annual event, the MarketCounsel Summit, has become the premier gathering for the country's leading growth-oriented, independent investment advisers, and serves as both a spark and catalyst for conversation among the industry's leaders. Visit www.marketcounsel.com for more information.

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