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, says Fi360s Blaine F. Aikin, AIFA®, CFA, CFP®, and Duane Thompson, AIFA®.
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 CEO 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?
Fi360
Our educational webinars address recent industry developments or specific topics related to fiduciary responsibility. They offer opportunities for interaction between the audience and the presenters, who are Fi360 staff or other industry thought-leaders.
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Live attendance is eligible for one hour of CE for the AIF®, AIFA®, and PPC® Designations. CE credit may also apply for the CFP® Certification, when indicated. Each individual wishing to receive CE credit for any credential must register for and log in to the session individually so that we have a record of your attendance. Recorded videos of previous webinars are available for viewing below. AIF and AIFA Designees must access archived webinars through the Designee Portal in order to receive CE credit. If you have any questions, please email support@fi360.com.
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