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DOL Fiduciary Rule Resource Center

DOL Fiduciary Rule Webinar

Overview

The DOL fiduciary rule expands the definition of “fiduciary” to include individuals who provide retirement investment advice to investors in Individual Retirement Accounts (IRAs) and other investment accounts not covered by the Employee Retirement Income Security Act (“ERISA”). The rule requires that investment advice be offered solely based on the best interest of the client, independent of the financial interest of the advisor, a standard that previously only applied to retirement investment accounts subject to ERISA, such as 401(k) accounts.

Significant compliance implications are expected in, among other areas, conflicts of interest disclosures, fee- vs. commission-based models, variable annuities and IRA sales, as well as potential customer account repapering requirements based on business decisions made by the firm. RegEd has assembled this list of resources that may be useful in understanding the rule, its implications and how to prepare.

DOL Fiduciary Rule Primer

DOL Finalizes Rule to Address Conflicts of Interest in Retirement Advice
– U.S. Department of Labor, Employee Benefits Security Administration
DOL Fiduciary Rule
– Sutherland Asbill & Brennan LLP, 2016
What Advisors May Not Know About the DOL Fiduciary Rule
– ThinkAdvisor, August 26, 2016
Ten key points from the DOL’s fiduciary duty rule
– PricewaterhouseCoopers LLP, April 8, 2016
EY Financial Services Webcast: DOL’s Fiduciary Rule
– Ernst & Young LLP, April 15, 2016
A Basic Overview of the DOL Fiduciary Rule
– Deloitte, May 10-11, 2016
Breaking Down the Fiduciary Rule, Part 1: Fiduciary Versus Suitability Standard
– WealthManagement, May 23, 2016
Breaking Down the Fiduciary Rule, Part 2: Why Was the Suitability Standard Not Enough?
– WealthManagement, May 24, 2016
Breaking Down the Fiduciary Rule, Part 3: Why Are These Changes Being Made?
– WealthManagement, May 25, 2016
Breaking Down the Fiduciary Rule, Part 4: What is the Potential Impact to Retirement Account Advisement?
– WealthManagement, May 25, 2016
Breaking Down the Fiduciary Rule, Part 5: What is the Potential Impact to Other Aspects of the Financial Services Industry?
– WealthManagement, May 25, 2016

 

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