SL01 - The DoL’s Fiduciary Rule: How it Compares to (and Impacts) Existing Standards for Broker-Dealers and Investment Advisers

Date/Time: 
10/18/2017 - 9:00am to 10/18/2017 - 10:00am
Room: 
Rocky Mountain CD

This segment will explore the requirements of the Department of Labor’s (DOL) fiduciary rule and the “best interest” contract exemption for financial intermediaries. The panel will also discuss the differences among fiduciary duty standards applied in varying contexts, including ERISA, discretionary accounts, conduct standards for investment advisers, and under state common law, and explore how the DoL’s fiduciary duty and its requirements compare with and impact those standards.