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DOL Fiduciary Rule Webinars

DOL Fiduciary Rule Webinars
 

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 Executive Chairman 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

     

Topic: An Update on the DOL's Fiduciary Rule Proposal

Presenters:
Blaine F. Aikin, AIFA®, CFA, CFP®, Executive Chairman of Fi360 
Duane Thompson, AIFA®, Senior Policy Analyst at Fi360

Download Webinar Recording and Slides Now!

 


 

Now that the DOL’s fiduciary rule has been out for over two months, advisors need to be turning their attention towards compliance. In this session, we will focus in on specific provisions of the rule, the associated compliance concerns, and what steps advisors should be taking starting now. Among the topics to be covered are requirements around compensation, conflicts of interest, rollover advice, and the Best Interest Contract Exemption.

Topic: Compenation, conflicts, and best practices under the DOL's Fiduciary Rule

Presenters:
Blaine F. Aikin, AIFA®, CFA, CFP®, Executive Chairman of Fi360 
Duane Thompson, AIFA®, Senior Policy Analyst at Fi360

Download Webinar Recording and Slides Now!

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