DOL New Fiduciary Rule: Compliance Check-up
With the DOL’s Applicability Date less than 3 months away, you want to be certain you understand exactly how the new rules apply to your firm and what you need to do in the time remaining. In this session we will give you the tools to be certain that fully understand how the new rules apply to your firm and the steps you must take to be in compliance by April 10, 2017. The session will also include the latest news from the DOL, the Trump Administration, the Congress and the courts.
After attending this course you will be able to:
- Analyze the DOL fiduciary rules and understand what you must do in the weeks ahead.
- Conduct a gap analysis of your current plan and plug any gaps before the Applicability date.
- Differentiate between Advisers Act and DOL definitions of “fiduciary” and apply the special procedures required by the DOL to your firm
Designed to increase the professional competence of investment adviser and broker-dealer compliance professionals with legal, compliance, operations, technology, administrative and management responsibilities
Suggested Skill Level: Intermediate
Instructional Method: Group Internet-Based
Pre-requisites for participation: No prerequisites are required.
Advance Preparation: None
Continuing Education Credits:
NRS Continuing Education Guide
Maximum Recommended CPE Credit: 2 in the Regulatory Ethics field of study
Maximum Recommended IACCP CE Credit: 2
Maximum Recommended CA MCLE Credit: 2
Maximum Recommended CFP Credit: Pending