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  • Quarterly SUPER CE: May Focus on Fiduciary Rule and Compliance Support

Quarterly SUPER CE: May Focus on Fiduciary Rule and Compliance Support

  • Wednesday, May 24, 2017
  • 2:00 PM - 6:00 PM
  • Phoenix Country Club: 2901 N 7th Street Phoenix

Registration

  • Timely RSVP deadline is generally the Friday prior to the meeting
  • Timely RSVP deadline is generally the Friday prior to the meeting
  • Timely RSVP deadline is generally the Friday prior to the meeting
  • Phoenix Compliance Round Table Members

Registration is closed



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!

Program Description

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.


Learning objectives:


  • Analyze the current status and lasting impact of the Fiduciary Rule
  • Determine how the most recent developments will impact your plans for DOL compliance
  • Solidify your knowledge of the DOL Fiduciary Rule
  • Pinpoint which of your clients will need Full BIC versus BIC Lite
  • Increase your understanding of the Impartial Conduct Standards
  • Gain practical insight from DOL and industry guidance for complying with such standards



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of Greater Phoenix

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Mission:  Connect CFP(R) and associated professionals to the resources they need and the people who need them.
 
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