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An Update on the DOL's Fiduciary Rule Proposal

fi360

Oct. 15, 2015
Recorded Online
Webcast

Now that the public and industry has had its say on the DOL's "conflicts of interest" rule proposal, it's time to start looking ahead at how the rule is likely to impact the financial services industry and retirement investors it is designed to protect. What changes do we expect to see from the original rule proposal? What's a sensible timeline for a final rule to be introduced and, ultimately, take effect? Most importantly, how will the rule affect the way advisors are providing services to retirement plan clients and what prudent processes should they consider adopting prior to the effective date?

In this session, fi360 CEO Blaine Aikin and Senior Policy Analyst Duane Thompson will look at both the big picture of how the rule is taking shape, as well as the practical impact in a number of specific areas. For instance, what does the rule mean for products, such as annuities and proprietary products? How do the prohibited transaction exemptions affect existing advice practices? When exactly is ERISA fiduciary status triggered when advising on rollovers?

Learning Objectives:

  • What to expect from the final DOL conflicts of interest rule
  • Investment processes that planners should be reviewing to ensure compliance
  • How new fiduciary protections are meant to protect investors

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