Subscribe (Free) to
Daily or Weekly Newsletters
Post a Job

Featured Jobs

Loan & Distribution Specialist

AimPoint Pension
(Remote)

AimPoint Pension logo

Defined Benefit Combo Cash Balance Compliance Consultant

Loren D. Stark Company (LDSCO)
(Remote)

Loren D.  Stark Company (LDSCO) logo

Business Development Director

AimPoint Pension
(Remote / Pompano Beach FL / AL / GA)

AimPoint Pension logo

Retirement Plan Administrator

Bates & Company, Inc.
(Remote / Winter Park FL)

Bates & Company, Inc. logo

Regional Vice President of Sales

The Retirement Plan Company
(Remote / AL / FL / GA / MS)

The Retirement Plan Company logo

Director of 3(16) Operations

Compass
(Remote / NH / Hybrid)

Compass logo

View More Employee Benefits Jobs

Free Newsletters

“BenefitsLink continues to be the most valuable resource we have at the firm.”

-- An attorney subscriber

Mobile app icon
LinkedIn icon     Twitter icon     Facebook icon
Webinars
and Podcasts
  >  Upcoming   |   Recorded
Conferences
(In-Person or Virtual)
  >  Upcoming   |   Grouped by Location
All   >  Upcoming   |   Grouped by Sponsor

View More Faegre Drinker Webinars, Podcasts and Conferences

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

Faegre Drinker

June 23, 2021
Recorded Online
Webinar

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

© 2024 BenefitsLink.com, Inc.