By Ed Wegener and Patrick M. Dennis
IRAs, Rollovers and DOL Fiduciary Compliance: What You Need to Know
You can now listen to our complimentary webinar from June 8, 2021
co-sponsored with Faegre Drinker Biddle & Reath LLP
This program focused 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, this panel discussed the steps that broker-dealers and investment advisers should take to be in compliance by December 20, 2021 and what they should be doing now to comply with the Impartial Conduct Standards.
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