On-Demand Webinar: Reg BI and PTE 2020-02 Compliance Priorities

Much has been reported about the limited adoption of Reg BI, specifically as it pertains to the Care Obligation and the requirement to assess reasonably available alternatives. Moreover, the DOL’s PTE 2020-02 and SEC have magnified the level of scrutiny around rollover recommendations.

With SEC examinations ramping up and the PTE 2020-02 deadline around the corner, you're invited to hear industry experts John Carl from Retirement Learning Center and Issa Hanna and Carol McClarnon from Eversheds Sutherland discuss:

* Regulatory challenges and opportunities presented by the increased focus on Reg BI and PTE 2020-02
* Practical tools to support financial professionals to make informed and compliant rollover recommendations
* The DOL and the SEC’s expectations about documentation and client disclosure

Видео On-Demand Webinar: Reg BI and PTE 2020-02 Compliance Priorities канала InvestorCOM Inc.