Are you confused or concerned about the upcoming impartial conduct standards? In this webinar, SMS experts share answers to help you understand your options and minimize exposure for your business.
You can easily browse to the key subjects of the presentation.
- 3:03 - The presentation covers the background and key elements of the impartial conduct standards. View here.
- 6:16 - The panel also delves in to the industry response to the standard, specifically discussing the ins and outs of the Prohibitive Transaction Exemption 84-24.
- 10:08 - They share a 5-step case study which helps you to know what needs to change in your business and what does not, and how to create a repeatable process.
- 20:50 - The presentation covers the importance of reviewing E&O insurance and understanding whether or not you are covered while acting as a fiduciary under the DOL rule.
- 22:05 - They introduce Sequent Planning, the Registered Investment Advisor working with SMS.
- 25:52 - The panel answers questions from viewers.
If you have questions or concerns about what implementation of the impartial conduct standards means for your business, SMS can help provide answers. Contact us at 1.800.786.5566 or DOL@seniormarketsales.com.