SEC Best Interest Interplay with DOL: What Will Compliance Look Like?

Overview

Who Should Join

This is a LIMRA member benefit webinar. Registration is open to home/corporate office employees of LIMRA member companies. Membership will be verified upon registration.

Highlights

In June, the SEC finalized its controversial “best interest" regulatory package for brokers and registered investment advisers. And very soon, the DOL will be proposing a new iteration of its now-defunct Fiduciary Rule for advice to retirement plan and IRA investors.

Join LIMRA as we interview subject matter expert Joshua Waldbeser of Drinker Biddle on the new implications of SEC BI and current consensus expectations of the DOL's rulemaking.

Specifically,

Which rule or rules will apply in what situations?
Under each set of rules, how will compliance differ from previous SEC, FINRA and DOL standards?
What are the new issues relating to rollover recommendations using insured products?
How should advisors approach financial conflict mitigation?

Presenter

Joshua J. Waldbeser

Associate, Drinker Biddle & Reath LLP

Joshua J. Waldbeser

Associate, Drinker Biddle & Reath LLP

Joshua J. Waldbeser counsels plan sponsors and committees with respect to their fiduciary responsibilities under ERISA, as well as design and operational considerations for 401(k) plans, ESOPs and other defined contribution plans, cash balance and traditional defined benefit plans, and deferred compensation arrangements of all types. Josh also works extensively with insurance companies, investment advisors and funds, banks and trust companies, broker-dealers, record keepers, TPAs and other service providers with respect to ERISA, tax, securities and other compliance matters, including investment and fiduciary issues, as well as prohibited transactions and exemptions.

Host

Judy Zaiken, CLU, ChFC

Corporate Vice President, Strategic Research Initiatives, LIMRA

Judy Zaiken, CLU, ChFC

Corporate Vice President, Strategic Research Initiatives, LIMRA

Judy Zaiken is corporate vice president, responsible for leading strategic research initiatives for LIMRA. In this capacity, she works across the enterprise to identify research opportunities as a result of evolving regulations and advancing technology that will lead to the development of member solutions. Before assuming her current role, Zaiken lead the LIMRA Secure Retirement Institute research program. Prior to joining LIMRA in 2014, she was responsible for annuity product strategy and business development for MassMutual Financial Group.

Zaiken holds an M.B.A. from Western New England University and a B.A. in Economics from Framingham State University.

Contact us to learn more:

Debbie Boone

Event Coordinator

LIMRA

(860) 298-3843

dboone@limra.com