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PTE 2020-02 Mistakes and Misunderstandings, Part 3: Best Interest Process, Data and Compliance Failures

Faegre Drinker

June 30, 2022
Recorded Online

In PTE 2020-02, the U.S. Department of Labor has expanded its interpretation of the ERISA and Code regulatory definitions of non-discretionary fiduciary investment advice and provided an exemption, or exception, to the prohibitions on conflicts of interest. Please join us for the third webinar in this series where Faegre Drinker attorneys will examine this re-interpretation and discuss best practices for navigating it. Joined by Fiduciary Decisions CEO Tom Kmak, our panel of attorneys will discuss:

  • In order to obtain the relief afforded by the PTE, a number of conditions must be satisfied. What if one or more is not?
  • What are the hurdles to complying with the requirements for a compliant recommendation to rollover from a retirement plan to an IRA?  How can they be satisfied?
  • What is a “diligent and prudent” effort to obtain actual plan information? What are the options for obtaining actual plan information?
  • Under what circumstances can “alternative” data be used in the rollover analysis?
  • How can you know if the alternative data satisfies the DOL requirement that it be “reliable”?
  • What does a comparative rollover analysis involve? What factors could favor a rollover recommendation? 

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