Colorado Compliance Roundtable Breakfast Series - New DOL Fiduciary Rule

June 14, 2016

New DOL Fiduciary Rule

Davis Graham & Stubbs LLP is pleased to invite you to join us for the next installment of the Colorado Compliance Roundtable Breakfast Series. The series is open to all investment adviser compliance professionals and service providers. Each installment is designed to assist with a particular aspect of the evolving regulatory and business landscape.

This series offers a unique opportunity to exchange ideas, questions, and best practices with local compliance professionals, attorneys, and compliance consultants in an interactive, candid, small-group setting.

On April 6th, the Department of Labor (DoL) released the long-awaited final "fiduciary rule" which sets a new standard for advice given to retirement investors. Under the final rule, financial advisors who provide investment advice with respect to retirement-type assets will face regulatory requirements, including conditions on the receipt of commission-based compensation. Issues to be addressed include:

  • Who is a "fiduciary" under the final rule?
  • What are a fiduciary's duties to the client?
  • What clients are covered?
  • What transactions are covered?
  • What is a "recommendation"?
  • How can business be structured to comply with the final rule?
  • What are the legal remedies available under the final rule?

Our speakers for this program will include:

 Presentation Materials

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