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(Telecommute / Tacoma WA / Tualatin OR / Littleton CO)

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View More Faegre Drinker Webcasts and Conferences

The DOL's New Fiduciary 'Rule' and the PTE: What Registered Investment Advisers Need to Know

Faegre Drinker

June 23, 2021
1:00 - 2:00 p.m. ET
Webcast

Effective February 16, 2021, the DOL announced an expanded definition of fiduciary advice which will cause many RIA services, that were previously considered non-fiduciary under ERISA and the Internal Revenue Code, to be subject to a fiduciary and best interest standard of conduct and the prohibited transaction rules for fiduciary advice. To address the prohibited transaction consequences, the DOL also issued prohibited transaction exemption (PTE) 2020-02 that imposes a standard of conduct, disclosure obligations, mitigation requirements, policy and procedure requirements and more.

Join us for a lively discussion regarding the DOL’s recently issued Frequently Asked Questions (FAQs) and the processes, policies and procedures RIAs should put in place now to address these issues:

  • The standard of conduct under the PTE
  • Fiduciary requirements for a rollover recommendation
  • Rollover advice and what steps RIAs need to take to avoid a prohibited transaction
  • Mitigation of conflicts of interest
  • Disclosure considerations

More Information, How to Register

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