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SEC and DOL: Rollover Requirements

ON-DEMAND WEBINAR   The DOL and the SEC are increasingly focusing on rollover recommendations and their impact on investors. The DOL’s PTE 2020-02 expands the definition of fiduciary advice when recommending […]

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Client Focused Reforms – Implementing KYP

ON-DEMAND WEBINAR With the CFR implementation deadline fast approaching, many firms are looking for practical strategies for meeting the remaining elements of the CFRs. Watch this 60-minute on-demand webinar to […]

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Reg BI Exams – The Care Obligation

ON-DEMAND WEBINAR With a new SEC Chair sworn in and regulators conducting Regulation BI exams that go beyond ‘good-faith’ efforts, firms will be looking to adjust their practices to meet […]

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2021 Reg BI Exams & Variable Annuities

It has been six months since Reg BI’s best interest standard went into effect. Initially, the regulators required that firms make “good faith” and reasonable efforts to ensure the principles […]

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