This 60 Minute Session will provide a detailed overview of the Department of Labor’s Final Fiduciary rule including the history and on-going resistance to the rule.  The session will delve into detail on how the rule was established and who it will be applied to.  We will discuss the summary of the details of the New Final Rule and what firms must do to comply.  We will also discuss what might be next in the area of Fiduciary Responsibility in the Financial Industry and how that will affect the businesses that support and utilize the financial industry such as Accountants, Compliance and Legal.  We will address how The US Securities and Exchange Commission and the Department of Labor have different outlooks on conflicts of interest.  We will review the best practices of creating and reviewing the Best Interest Contract Exemption.  A discussion on best practices for conducting a due diligence to ensure those providing advice are Fiduciaries and how to determine if they are complying with the rule.

Course Objective:

To gain an advantage in the ever evolving regulatory landscape of the financial services industry.  The Department of Labor’s Fiduciary Rule will change the way financial firms need to provide service to their clients.  This will affect virtually all areas at some level.  Be sure you understand the rule, the implications and way that firms will need to maintain systems in order to effectively meet the requirements of the current rule and learn how it may affect more than retirement accounts in the future.

Course Outline:

• The History of ‘‘Fiduciary’’; Conflict of Interest Rule—Retirement Investment Advice
• The Department of Labor’s outline of the areas in Finance that will be affected by the Final Fiduciary Rule
• A Comparison of the Definitions of Fiduciary
• What is a Non-Fiduciary?
• What it means to Comply with the Final Rule
• The Best Interest Contract Exemption

What You Get:

• Training Materials
• Live Q&A Session with our Expert
• Participation Certificate
• Access to Signup Community (Optional)
• Reward Points

Target Audience:
This webinar will provide valuable assistance to all personnel in: 

• Audit and Compliance Personnel / Risk Managers.
• Operations Managers
• Chief Operating Officers
• Attorneys
• Investment Management/Portfolio Managers/Research Analyst
• Compliance Consulting Firms
• Client Service Managers