Fiduciary Responsibility Panel Discussion

07 Sep 2016 | 06:00 pm

In April 2016 the Department of Labor made a dramatic ruling regarding fiduciary responsibility requirements for management of retirement funds. In light of this ruling, Lee Augsburger, Charles Senatore, and Madelyn Calabrese came together for this important CFA event to debate the following questions:
  • How does this ruling directly impact us as finance professionals?
  • What does our Faith require of us as fiduciaries?
  • How does this ruling support or conflict with the responsibility to serve our clients’ best interests?
  • How have cultural trends led to this outcome, and what are ways in which we can respond?
Lee Augsburger
Prudential Financial
SVP, Chief Ethics & Compliance Officer
During Lee Augsburger’s tenure, Prudential Financial has been named a World’s Most Ethical Company by the Ethisphere Institute for the last two years, and he himself was named among the 100 Most Influential in Business Ethics. He is responsible for leading the company’s global compliance organization of more than 500 staff worldwide and the company’s global business ethics efforts.
Charles Senatore
Fidelity Investments – Devonshire Investors
EVP, Head of Risk Oversight
Chuck Senatore is an executive vice president and head of risk oversight for Devonshire Investors, an organization within Fidelity Investments with focus on private equity and venture fund investing. In earlier roles at Fidelity, he led the firm’s global compliance and ethics function for over eleven years, and has served as the firm’s head of regulatory coordination and strategy, while coordinating the firm’s strategy among its federal, state and international regulators.
Madelyn Calabrese
Haynes Boone
Partner, Private Equity and Investment Management Practice
Madelyn serves in the New York office of Haynes and Boone, LLP., counseling broker-dealers and investment advisers on a broad range of subjects including formation and registration, as well as regulatory, compliance, and inspection/enforcement matters. She was recognized in New York Super Lawyers – Rising Stars Edition, Thomson Reuters, for Securities & Corporate Finance, from 2013-2015, and by BTI Consulting Group as a Client Service All-Star, 2015.
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*Graciously hosted at the law offices of Haynes Boone.