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Revised Fiduciary and Conflicts of Interest Rules Issued by Department of Labor (FIDU)

  • Customer Rating
    Not Yet Rated
  • Field of Study
    Business Law
  • Level
    Basic
  • Credits
    2
  • Qualifies for

    CPE

Overview

Employment law compliance is always challenging, but never more so than at times of significant change to the governing law and regulations. For employers who sponsor retirement plans, this is such a time. In this webinar we will review a major shift in the regulatory scheme for employers (and the CPA firms that advise them) in connection with retirement plan or IRA assets and the significant and far reaching impacts of recent changes to the definition of “Fiduciary.”

Major Topics:

  • New Fiduciary and Investment Advice Rules – Department of Labor (DOL) changes the definition of “Fiduciary” in the investment advice context
  • Expanded definition of Fiduciary:
    • No requirement for regular and consistent advice
    • No requirement for reliance
  • Consequences of new definition:    
    • Greatly expanded definition of situations covered        
    • Inclusion of IRAs under historical DOL regulatory authority
  • Focus on Conflicts of Interest and other potential situations for self-interested advice
  • Exemptions for Common Situations
    • Best Interest Exemption most common
    • Principal Transaction Exemption
    • Revisions to existing exemptions
  • Delayed effective date 

Learning Objectives

  • Understand the specific changes which have been made to the definition of Fiduciary in the investment advice context, and be able to articulate the consequences of these changes
  • Be able to identify scenarios presenting a risk of conflict of interest
  • Know the most common exemptions and the circumstances in which they apply

Who should take this course:

Designed for:

Any practitioner who wishes to alert clients as to developments relating to retirement plans

Prerequisite:

None

Advanced Preparation:

None

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