The New DOL Fiduciary Rule And Its Impact On Retirement Plans And Advisors
|Date / Time:
The U.S. Department of Labor has promulgated new rules regarding the fiduciary status of individuals and firms who advise plan sponsors and participants regarding 401(k) and other retirement plan investments, and who sell investments to retirement plans.
For advisors, the new rules pose significant risks and impose costs, both in terms of potential lost revenue and costs of compliance with complex new requirements.
This webinar will give you a thorough grounding in the requirements of the new rules and the emerging best practices to compete in the new regulatory environment.
What It Means to Be an ERISA Fiduciary
The New Fiduciary Regulation
- Investment Advice vs. Investment Management
- General Duties of Fiduciaries Under ERISA
- Liability Under ERISA and Code
Best Interest Contract and Other Exemptions
- New Definition of "Advice" vs. Old
- Persons Exempted
- Applicability Date
Impact of New Fiduciary Rule
- Potential Pitfalls and Costs
Will the New Fiduciary Regulation Survive?
- Impact on Financial Professionals
- Impact on Employers and Employees With Respect to 401(K) and Other Retirement Plans
- Management Fee vs. Commission
- IRA Rollover
About The Presenters
- Legal Challenges
- Congressional Action
Luke D. Bailey
Amiram J. "Ami" Givon
- Partner in Dallas office of Strasburger & Price, LLP
- Practices in areas of of IRC §§401(a) qualified plans of for-profit business, and, 403(b), 457(b) and (f), and 415(m) plans of schools, state and local governments, universities, and charities
- Has handled a large number of cases under the IRS's program for rehabilitating delinquent qualified retirement plans ("EPCRS," "VCP," and "Cap")
- Admitted, Texas
- Member, National Association of Public Pension Attorneys, American Bar Association Tax Section, and Texas Bar Association
- D Magazine List of Best Lawyers in Dallas, 2011, 2013
- Named among The Best Lawyers in America®, (Copyright 2012 by Woodward/White, Inc., of Aiken, SC), 2013 to 2014
- J.D. degree, Order of the Coif, University of California at Berkeley (Boalt Hall); B.A. and A.B., cum laude, degrees, Occidental College
- Partner at GCA Law Partners LLP, Mountain View and San Francisco, California
- Practice emphasizes all aspects of ERISA, IRAs and deferred compensation
- Frequent public speaker on ERISA and IRA compliance
- Wrote publications related to IRAs and deferred compensation for employees of tax-exempt organizations
- Member of Western Pension & Benefits Council, San Francisco, California Chapter and American Society of Pension Professionals and Actuaries
- LL.M in taxation, Golden Gate University; J.D. degree, University of California, Hastings College of the Law; A.B. degree, with highest honors, University of California at Berkeley
Cannot Attend The Live Presentation?
This presentation is also available in a recorded format, in CD version, as shown in the pricing options below.
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||Lorman Education Services has provided educational seminars and online training for professionals since 1987.
Since then, we've kept thousands of professionals in the United States and internationally current on the most pressing topics in a rapidly changing marketplace of ideas. Like you, we understand the need for concise, accurate information.
That understanding underlies each Lorman course, presenting the latest information on the laws and regulations critical to your organization's successful daily operations.
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