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.
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
Download the Capital Markets Services eBook to learn about CAT Reporting, Trade and Position Reporting, Market Access and Best Execution.
Download
