Wednesday, May 4, 2016
2:00 – 3:00 p.m. EDT
The final fiduciary rule adopted by the Department of Labor in April 2016 (the “DOL Rule”) will have a major impact on broker-dealers whose clients include retirement plans and IRAs. Our presentation will discuss:
- What actions will cause you to be deemed a fiduciary under the DOL Rule;
- What are the consequences of being deemed a fiduciary;
- The exclusion for dealing with certain institutional or professionally managed retirements accounts;
- Scope and requirements of the Best Interests Contract exemption (“BIC”);
- Scope and requirements of the Principal Exemption;
- Special requirements for proprietary products; and
- Implications for future compliance.
Speakers:
- Paul Borden Partner, Morrison & Foerster LLP
- Hillel T. Cohn Senior Of Counsel, Morrison & Foerster LLP
For more information, or to register, please click here.