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Compliance Connections Webinar: The Fiduciary Rule Rides Again

 

During this webinar our panelists from Foreside and The Wagner Law Group discussed the DOL’s Fiduciary Rule, including:

  • The DOL’s new interpretation of the term fiduciary and how it affects investment advisors that provide rollover advice
  • The criteria investment professionals should be looking at when making rollover recommendations
  • Suggestions on how investment advisors can comply with Impartial Conduct Standards
  • Recommendations for policies and procedures to adopt and comply with the exemption
  • Practical advice for dealing with deferral of deadline date for compliance

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