Webinar: DOL Fiduciary Rule Impact On Investment Advisers

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DOL Fiduciary Rule

Impact On Investment Advisers

 

Wednesday, May 4

12pm Eastern / 9am Pacific

 

Register Now ›


Focus 1 Associates and Hardin Compliance Consulting present a COMPLIMENTARY webinar covering what investment advisers need to know about DOL’s new “Conflict of Interest” Rule (formerly known as the “Fiduciary Rule”) and how best to prepare.

 

We will be answering your most pressing questions under the new rule, including:

  • Who is a fiduciary?
  • What disclosures are required?
  • Which products and services are impacted?
  • How do we comply with the new Best Interest Contract Exemption (BICE)?
  • What are the steps to prepare my firm?
  • What is the potential impact on the industry?

Speakers

Tim Simons - Focus 1 Associates

Jaqueline M. Hummel

IACCP, AIFA
Managing Director
Hardin Compliance Consulting LLC

200x_Cope-Elizabeth

Elizabeth L. Cope

CPA, CIPM, CSCP
Managing Member
Focus 1 Associates LLC

 

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