DOL Fiduciary Rule: Impact Analysis & Action Items
An Advocacy and Ethics Committee Sponsored Event
Sweeping regulatory changes relating to conflicts of interest in retirement accounts will go into effect starting April 10, 2017. The new rules will primarily affect the way financial professionals interact with ERISA-covered retirement plans, certain non-ERISA plans and individual retirement accounts (IRAs).
Jason will describe how financial institutions are preparing for these changes and answer questions from attendees. At the conclusion of the presentation, he will outline specific action items designed to help advisors prepare for the challenges and take advantage of opportunities created by the new rule.
If your firm deals with almost any kind of retirement plan, these new rules will affect you. They even change how you must deal with non-clients when discussing their retirement plans. Make sure you attend this important presentation about the new Department of Labor rules.
Jason C. Roberts, Esq. | Jason Roberts is the Founder and CEO of the Pension Resource Institute (PRI), a firm that delivers strategic consulting, training and technology-based solutions to retirement plan sponsors, service providers and investment companies. He is also a founder and shareholder at Retirement Law Group (RLG) a law firm specializing in ERISA- and investment related matters.
Prior to founding PRI and RLG, Jason was a partner and co-chair of the Financial Services Group at a leading ERISA law firm and the head of the Investment Fiduciary practice for a prominent securities industry legal defense firm.
Jason has been repeatedly recognized as one of the "100 Most Influential in Defined Contribution" by the 401(k) Wire and a "Rising Star" by SuperLawyers Magazine. In 2015, he was selected by InvestmentNews as one of the "Top 40 Advisors and Associated Professionals under 40" in the financial planning industry.
Jason has published numerous articles focusing on ERISA and securities compliance, fiduciary best practices and is a frequent speaker at retirement plan and financial industry conferences. He is a contibuting author and faculty member for the Practicing Law Institute. Jason is also currently servicing a two-year term as an advisor to the finance committee for the Beach Cities Health District.
Jason received his B.S.B.A. in Finance & Banking from the University of Missouri and his J.D. from UCLA Law School.
$10 (Members) | $15 (Non-Member)
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CFA Society of Los Angeles, 520 S. Grand Ave, Suite 655, Los Angeles CA 90071.
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|As a participant in the CFA Institute Approved-Provider Program, the CFA Society of Los Angeles has determined that this program qualifies for 1 credit hour. If you are a CFA Institute member, CE credit for your participation in this program will be automatically recorded in your CE Diary.|