The New DOL Fiduciary Rule And Its Impact On Retirement Plans And Advisors

Webinar: ID# 1023057
Recorded CD
About This Course:
The U.S. Department of Labor has promulgated new rules regarding the fiduciary status of individuals and firms who advise plan sponsors and participants regarding 401(k) and other retirement plan investments, and who sell investments to retirement plans.

For advisors, the new rules pose significant risks and impose costs, both in terms of potential lost revenue and costs of compliance with complex new requirements.

This webinar will give you a thorough grounding in the requirements of the new rules and the emerging best practices to compete in the new regulatory environment.


What It Means to Be an ERISA Fiduciary
  • Investment Advice vs. Investment Management
  • General Duties of Fiduciaries Under ERISA
  • Liability Under ERISA and Code
The New Fiduciary Regulation
  • New Definition of "Advice" vs. Old
  • Persons Exempted
  • Applicability Date
Best Interest Contract and Other Exemptions
  • Benefits
  • Requirements
  • Potential Pitfalls and Costs
Impact of New Fiduciary Rule
  • Impact on Financial Professionals
  • Impact on Employers and Employees With Respect to 401(K) and Other Retirement Plans
  • Management Fee vs. Commission
  • IRA Rollover
Will the New Fiduciary Regulation Survive?
  • Legal Challenges
  • Congressional Action
About The Presenters

Luke D. Bailey
  • Partner in Dallas office of Strasburger & Price, LLP
  • Practices in areas of of IRC §§401(a) qualified plans of for-profit business, and, 403(b), 457(b) and (f), and 415(m) plans of schools, state and local governments, universities, and charities
  • Has handled a large number of cases under the IRS's program for rehabilitating delinquent qualified retirement plans ("EPCRS," "VCP," and "Cap")
  • Admitted, Texas
  • Member, National Association of Public Pension Attorneys, American Bar Association Tax Section, and Texas Bar Association
  • D Magazine List of Best Lawyers in Dallas, 2011, 2013
  • Named among The Best Lawyers in America®, (Copyright 2012 by Woodward/White, Inc., of Aiken, SC), 2013 to 2014
  • J.D. degree, Order of the Coif, University of California at Berkeley (Boalt Hall); B.A. and A.B., cum laude, degrees, Occidental College
Amiram J. "Ami" Givon
  • Partner at GCA Law Partners LLP, Mountain View and San Francisco, California
  • Practice emphasizes all aspects of ERISA, IRAs and deferred compensation
  • Frequent public speaker on ERISA and IRA compliance
  • Wrote publications related to IRAs and deferred compensation for employees of tax-exempt organizations
  • Member of Western Pension & Benefits Council, San Francisco, California Chapter and American Society of Pension Professionals and Actuaries
  • LL.M in taxation, Golden Gate University; J.D. degree, University of California, Hastings College of the Law; A.B. degree, with highest honors, University of California at Berkeley
The New DOL Fiduciary Rule And Its Impact On Retirement Plans And Advisors
Available on CD format
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