Location: Phoenix Country Club
Date and Time: May 24th, 2 – 6 pm with networking social following CE program
CE: Approved for for 3.5 hours of CFP(R) CE; Approved for 3 hours CEfor AZ State Dept. of Ins.
Price: Members: $28, Non Members: $45, First time guests $25
First 25 registrants receive VIP status
Special Invitation to Phoenix Compliance Round Table members: join us at our member rates for this meeting!
The DOL Fiduciary Rule has presented enormous challenges for compliance professionals since announced in April 2016.
After reviewing the current status of the new Fiduciary Rule, this session will set the stage for the changes effecting firms with the extension of the Fiduciary Rule date from April 10th to June 9th.
The session will also deliver an overview of the Fiduciary Rule and the Best Interest Contract Exemption (“BICE”). Most firms will need to exercise the BICE in order to provide services to IRAs. Our general review of the BICE is designed to help you understand when you must use the complete Best Interest Contract Exemption (“Full BIC”) and when the “BIC Lite” exemption is appropriate.
Finally, we will review elements of the Impartial Conduct Standards and guidance provided by the DOL relevant to these standards.
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