Compensation, conflicts, and best practices under the DOL’s Fiduciary Rule

Blaine F. Aikin, AIFA®, CFA, CFP®, Executive Chairman of fi360

Duane Thompson, AIFA®, Senior Policy Analyst at fi360

June 28, 2016

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.