Final Department of Labor Fiduciary Rule

05/04/2016 02:00 p.m. - 03:00 p.m. EDT

Capital Markets, Banking + Financial Services, Compensation, Benefits + ERISA, Financial Institutions + Financial Services, and Investment Management

Paul Borden and Hillel T. Cohn


Trevor Starer
(212) 336-4310

Download Presentation Materials

Listen to Presentation

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.


Find MoFo Info

Email Disclaimer

Unsolicited e-mails and information sent to Morrison & Foerster will not be considered confidential, may be disclosed to others pursuant to our Privacy Policy, may not receive a response, and do not create an attorney-client relationship with Morrison & Foerster. If you are not already a client of Morrison & Foerster, do not include any confidential information in this message. Also, please note that our attorneys do not seek to practice law in any jurisdiction in which they are not properly authorized to do so.

©1996-2016 Morrison & Foerster LLP. All rights reserved.