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What Employers Need to Understand About the New Fiduciary Rules
Presentor: David Schultz Recorded Date: 7/27/2016 Duration: 60 Min.

This program was recorded during a live presentation given on July 27, 2016 at 12:00PM EST.

The final fiduciary regulations go into effect in early 2017 and will undoubtedly impact the manner in which financial services are delivered to plan sponsors and participants. While financial services firms are still trying to interpret the new regulations and how to best navigate through the changed environment, the potential impact of many of the changes is clear today. This session will review the impact of the fiduciary regulations, including the Best Interest Contract Exemption, on Plan Sponsors along with the steps Sponsors and financial professionals must take to comply with in order to avoid Prohibited Transactions.

Topics Include:

  • An overview of the fiduciary regulations as they apply to Plan Sponsors
  • What Plan Sponsors should look for in financial professional relationships to best ensure compliance
  • How existing relationships with financial professionals may change
  • Obstacles and challenges for Plan Sponsors under the new rules



There are no prerequisites or other advanced preparation for this program. Attendees should have one year of experience.

Level: Overview

Instructional Delivery Method
Group – Internet-Based

NASBA Field of Study: Taxes

Speaker: David Schultz, J.D.

Objectives: After attending the program you should be able to:

  • Determine how the fiduciary regulations will effect Plan Sponsors
  • Identify the types of relationships that Plan Sponsors must avoid under the regulations
  • Develop a strategy for communicating responsibilities and risks associated with investment advice to Plan Sponsors
  • Describe the prohibited transaction rules and how they will impact non-compliant relationships


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