In the ERISA world, old news is becoming new again. Recently, the DOL’s proposed fiduciary rule cleared a big legislative hurdle. Is now the time to prepare for the possible impact on your advisory business? The SEC is also conducting sweep examinations of the retirement-account advice financial advisers are giving to their clients, an area normally associated with the DOL. Would you be prepared for an examination focused on your retirement-account advice?
Join our team of experts for an in-depth review of current fiduciary requirements under ERISA regulations and how the proposed changes, and SEC examination efforts, may impact your business.
This session will cover:
• Key ERISA Fiduciary requirements
• What will ERISA Fiduciary requirements look like when DOL’s changes are adopted?
• How proposed regulations will impact your service model
• SEC sweep examination focus areas