Regional Vice President of Sales The Retirement Plan Company
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Bates & Company, Inc.
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AimPoint Pension
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Loan & Distribution Specialist AimPoint Pension
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Defined Benefit Combo Cash Balance Compliance Consultant Loren D. Stark Company (LDSCO)
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Compass
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ERISA’s Five-Part Investment Advice Test - The DOL Changes CourseThompson Hine LLP |
Apr. 21, 2021 Recorded Online Webinar |
In this session of our Coffee Chat series, we will examine the Department of Labor’s (DOL) recently updated parameters for determining when a person provides investment advice triggering ERISA fiduciary status as outlined in its five-part test. We will also delve into how the DOL’s interpretation of the five-part test has changed with respect to rollover recommendations and when investment professionals providing such recommendations become ERISA fiduciaries. Finally, we will discuss the availability of a new prohibited transaction exemption (PTE) to address the inherent conflicts of interest that arise when rollover recommendations rise to the level of investment advice. We will discuss the following topics:
Presenters:
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