While managing conflicts of interest (fiduciary duty of loyalty) is the central focus of the Rule, the keys to compliance and advisor success are having policies, procedures, and practices in place to fulfil the fiduciary duty of care.
The main provisions of the Rule took effect on June 9, 2017. Essentially, all professionals who provide individualized investment advice on assets in ERISA retirement plans and IRAs are now accountable as fiduciaries.
Importantly, the DOL requires advisors to implement Impartial Conduct Standards (ICS) to manage conflicts of interest. But the ICS approach does more than address conflicts, it requires procedural prudence to demonstrate conformity to the duty of care, an obligation that exists for all fiduciary advisors whether they have compensation conflicts or not.
This webinar will provide an overview of the structure, current status, and future outlook for the DOL Fiduciary Rule and focus upon what advisors must do to adhere to the fundamental duty of care generally and the ICS requirements specifically.
The presenter is Blaine Aikin, AIFA®, CFA, CFP®, Executive Chairman of Fi360, Inc. and serves as the current Chair of the Board of Directors of the CFP Board of Standards.
Blaine is the Chief Executive Officer of fi360. Fi360 is a national and international leader in the field of investment fiduciary responsibility, providing training, Web-based analytical tools, and resources for those who manage money on behalf of others.
Moderator: Betty Meredith, CFA, CFP®, CRC®, Int’l Retirement Resource Center
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