By Ed Wegener and Patrick M. Dennis
Share ArticleIRAs, Rollovers and DOL Fiduciary Compliance: What You Need to Know
Join our complimentary webinar on June 8th,
co-sponsored with Faegre Drinker Biddle & Reath LLP
This program will focus on compliance with the DOL’s new “fiduciary rule,” a combination of an expanded interpretation of fiduciary status and an exemption for compensation, fees and commissions resulting from fiduciary recommendations.
While other programs have discussed the DOL’s requirements, we will discuss the steps that broker-dealers and investment advisers should take to be in compliance by December 20 and what they should be doing now to comply with the Impartial Conduct Standards.
Panelists
Fred Reish, Partner, Faegre Drinker
Bradford P. Campbell, Partner, Faegre Drinker
Patrick M. Dennis, Founder and General Counsel, Oyster Consulting
Ed Wegener, Managing Director, Oyster Consulting
About The Authors
Ed Wegener is an innovative compliance, risk management and supervisory controls expert with deep understanding of Federal Securities Laws and the rules of self-regulatory organizations, as well as technology optimization and risk mitigation. Prior to joining Oyster, Ed held several posts in FINRA, most recently as Senior VP and Midwest Regional Director.
Patrick M. Dennis has been involved in the securities industry for over 30 years, most recently as one of the Founding Principals of Oyster Consulting, LLC, a compliance, regulatory, operations, clearing advisory, software and technology consulting firm for broker-dealers, investment advisers, mutual funds and hedge funds.
eBook
Whether you are looking to change from self-clearing to fully-disclosed (or vice-versa), exploring your clearing options or starting a broker-dealer, Oyster can assist with the assessment, analysis, vendor selection and conversion processes.
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