DOL & SEC's Best Interest Principles: A Gateway to Growth in 2024

With the DOL’s Fiduciary proposal comment period behind us, many are assessing how the proposal, which includes new definition of fiduciary and changes prohibited transaction exemptions for rollovers (PTE 2020-02), and PTE 84-24 will impact their business model.
The proposed changes present not only challenges but also substantial opportunities for forward-thinking firms. The DOL Fiduciary and the SEC’s Best Interest principles are not just compliance requirements but pivotal opportunities for business growth and competitive advantage.
This webinar decodes best interest principles and how they can be embraced and leveraged in 2024. Industry experts from Faegre Drinker, Oyster Consulting, DCG Insights, and InvestorCOM cover:
Timeline for Regulations: An overview of the retirement security rule proposal and its implications.
Rollovers & One-Time Advice: Understanding the changes required under the retirement security rule proposal.
Strategic Growth through Compliance: Embracing DOL and SEC Best Interest requirements as a foundation for sustainable business growth. This segment will focus on how compliance can be transformed from a regulatory obligation into a key driver for business expansion, client trust, and market differentiation.
Best Interest Principles in Practice: Delving into how these principles impact investment recommendations and the broader implications for financial professionals, firms, and investors.
Interested in learning more?
Streamline compliance, protect your firm, and unlock AUM growth in 2024 with InvestorCOM. We have a team of experts who would love to talk with you to understand your firm's unique compliance needs and help you navigate the new DOL and SEC regulations.
Reach out to our team today at hubs.ly/Q02jbwzt0.