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Webinar - The DOL Rule Delay & Review: What Must Investment Advisers Do Now?

Date/Time:
Friday, April 28, 2017
2:00 – 3:00 p.m. (ET)

The panel will discuss the status of the DOL fiduciary rule, including the DOL’s review of the rule, the IAA's comments, potential changes to the rule and exemptions, and the political context. This webinar will also focus on what investment advisers to institutional and individual clients must accomplish by June 9 – the applicability date for the aspects of the Rule relevant to advisers.

Topics Covered

Topics will include:

  • The streamlined BIC
  • The Independent Fiduciary Exemption
  • Use of the “Hire Me” approach
  • How the delay affects these strategies

Presenters

Jenny Eller is Co-Head of Groom Law Group’s Fiduciary practice group. In her practice, Jenny advises financial institutions on the design and delivery of products and services to the retirement plan marketplace, and advises large corporate and public plan sponsors on all aspects of ERISA fiduciary compliance. In her role as practice group Co-Head, Jenny is responsible for ensuring that the strategic direction and new initiatives of the Fiduciary group position the Groom Law Group to serve the needs of its financial institution, corporate and public plan clients. Jenny holds a BA from Avila College, where she graduated magna cum laude, and a JD from Georgetown University Law Center, where she graduated cum laude. Download to see image
David C. Kaleda is a Principal in the Fiduciary Responsibility practice group at Groom Law Group. David has an extensive background in the employee benefits and financial services sector. He advises clients on the avoidance and resolution of prohibited transaction issues, the structuring of alternative investment funds (including "plan asset" funds, real estate operating companies, and venture capital operating companies), and day-to-day compliance issues arising under ERISA and the Internal Revenue Code. He also has substantial experience dealing with tax issues involving qualified plans and representing clients before the DOL and the IRS. David served on the DOL's ERISA Advisory Council for a three-year term (2012-2014). Download to see image
Karen Barr (moderator) is President and CEO of the Investment Adviser Association. Before assuming this role in 2014, she served as the IAA’s General Counsel for 17 years, with responsibility for the wide range of legal and regulatory matters affecting the Association and its members. Prior to joining the IAA, Ms. Barr was in private practice at Wilmer, Cutler & Pickering (now WilmerHale), where she represented clients with respect to SEC investigations, securities class action litigation, internal corporate investigations, and securities regulatory matters. Ms. Barr received her B.A. from the University of Pennsylvania and her law degree from the University of Michigan Law School. Download to see image

Webinar Audio Platform

Audio for this webinar will be broadcast through the internet via your computer speakers. Please visit the IAA's Webinar FAQ page or email iaaevents@investmentadviser.org if you have questions.

Registration

Click the "Register" button on this page.

Registration for the live webinar closes on Thursday, April 27, at noon ET.

IAA Members and IAA Associate Members: The live webinar and a link to the recording are complimentary. Registrations made on or before April 27 at noon ET are automatically registered for both the live webinar and the recording.

Non-Member Registration Fees: The live webinar is $250 (per computer logon). The recorded webinar is $250. The cost for both is $475.

Cancellation:
Cancellations and substitutions must be received in writing no later than noon (ET) Thursday, April 27, 2017. There are no refunds for cancellations after this date. Email your requests to megan.olson@investmentadviser.org.

Questions?

For questions regarding this webinar, call (202) 293-4222 or email iaaevents@investmentadviser.org.

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