Are your clients aware of the DOL Investigation Process?
Would they survive an investigation or audit?
Could you set up a fiduciary process if requested?
Chuck Rolph of Nationwide will be giving us an overview and status of the DOL's proposed regulations on the definition of "Investment Advice Fiduciary" and the Conflicts of Interest Rule.
4:30 – 5:00 p.m. Registration/Reception
5:00 – 6:40 p.m. Program and Q&A
6:40 – 7:00 p.m. Reception
PLEASE NOTE: We have two meeting available at the same location and time, you may want to attend the Health Care Update Meeting.
Please feel free to reach out to WP&BC with any questions.
Membership Questions To:Brian Abad