Recent changes to DOL and SEC regulations are expected to significantly affect the way service providers interact with qualified retirement plans, including IRAs. Jason Roberts will set forth the specifics of the various proposals (participant investment advice, fee disclosure, definition of fiduciary under ERISA, target date funds, etc.) and will provide tips to turn these challenges into opportunities for prospecting and retaining retirement assets. Attendees will be provided with a list of action items to consider implementing in their practices as well as conversation starters to engage prospective and existing clients with a goal of differentiating their respective services and demonstrating and/or redefining their value add.
Attendees will learn:
- The nature and scope of proposed changes to regulations relating to: investment advice, definition of fiduciary status under ERISA, fee disclosure, and the selection and monitoring of target date funds.
- Who is affected by these regulations and how to communicate the effect to clients
- How to turn compliance and operational challenges into effective sales opportunities.
Featured Speaker:
Jason Roberts, JD is a partner of the law firm of Reish & Reicher, specializing in employee benefits and securities regulation, and is the co-chair of the Financial Services Practice Group. Jason counsels broker-dealers, registered investment advisers (RIAs), hedge funds, private equity funds, retirement plan sponsors and plan providers in ERISA and investment-related matters. He represents clients in federal and state court at the trial and appellate level (including the United States Supreme Court) and in arbitrations before FINRA. He has published numerous articles on ERISA compliance and securities regulation. He is a nationally-recognized speaker and is frequently quoted by both professional and public publications, including The Wall Street Journal, InvestmentNews, Reuters, Dow Jones News, Ignites, PLANSPONSOR Magazine, PlanAdviser Magazine, Institutional Investor, Fund Action, and FSI Voice.