On-Demand Webinar: DOL Fiduciary Rule - Practical Implications

The Department of Labor (DOL) has released its latest fiduciary rule, signaling significant strategic implications for firms across the financial sector. As firms navigate this new regulatory landscape, understanding the rule’s nuances and operational impacts is crucial.
This webinar focuses on the revisions to PTE 2020-02 and how firms can align with the new version by the September deadline with InvestorCOM’s RolloverAnalyzer solution.
FINRA’s 2023 risk monitoring report, the SEC’s Risk Alert on Reg BI and 2023 Exam Priorities are three recent regulatory reports that call out deficiencies and a continued focus on Reg BI’s Care Obligation.
Watch this webinar to hear industry experts from Investment Adviser Association, Oyster Consulting and DFPG Investments discuss the practical implications on firms.