Focus 1 Associates and Hardin Compliance Consulting presented a 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.
The webinar answered the 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?
You can watch the webinar here:
Jaqueline M. Hummel, Managing Director, IACCP, AIFA Hardin Compliance Consulting, LLC and Elizabeth L. Cope, Managing Member, CPA, CSCP, CIPM, Focus 1 Associates, LLC