Final Department of Labor Fiduciary Rule

04 May 2016 02:00 p.m. - 03:00 p.m. EDT

Trevor Starer
(212) 336-4310

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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.



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