Speaker: Michelle Jacko
Topic: Smaller Firms: Considerations for Advisers with Individual Clients (DOL Fiduciary Rule, Aging Clients)
Advisers with individual clients can face issues from reduced capabilities of clients and others. Consider contractual and operational steps that can be taken in advance to confidently face such issues now and in the future. Hear the latest developments in the Department of Labor’s definition of fiduciary rule under ERISA, including implementation, the Best Interest Contract exemption, and other DOL guidance that impacts marketing your investment management services, recommending IRA rollovers, onboarding clients or employees, and drafting investment management agreements.
March 15 - 16, 2018
Website for conference details: https://www.investmentadviser.org/events/compliance-conference
Attending the conference? Be sure to come visit the Core Compliance℠ booth!