Skip to main content
A Better Partnership

Events

Sep 2021
01
September 01, 2021
Virtual CCO Roundtable Series: Fiduciary Duties Under DOL PTE 2020-02 and Rollover Practices

| Hosted By: Warner

Image for Virtual CCO Roundtable Series: Fiduciary Duties Under DOL PTE 2020-02 and Rollover Practices
Warner’s presented the virtual CCO Roundtable discussion focused on “Fiduciary Duties Under DOL PTE 2020-02 and Rollover Practices,” on Wednesday, September 1, 2021, at 12:00 noon. This virtual roundtable addressed when investment advice to retirement plan investors is considered fiduciary advice under Department of Labor PTE 2020-02, the requirements under PTE 2020-02 and the recent $96 million SEC settlement with TIAA arising from conflicts of interest in its rollover practices.
 
Attendees must be chief compliance officers or have equivalent responsibilities to participate. To facilitate an open and candid discussion among CCOs, we ask that these discussions be treated confidentially.

Look for a future CCO Roundtable Series invitation for the upcoming event scheduled for:
 
November 3, 2021
 

NOTICE. Although we would like to hear from you, we cannot represent you until we know that doing so will not create a conflict of interest. Also, we cannot treat unsolicited information as confidential. Accordingly, please do not send us any information about any matter that may involve you until you receive a written statement from us that we represent you.

By clicking the ‘ACCEPT’ button, you agree that we may review any information you transmit to us. You recognize that our review of your information, even if you submitted it in a good faith effort to retain us, and even if you consider it confidential, does not preclude us from representing another client directly adverse to you, even in a matter where that information could and will be used against you.

Please click the ‘ACCEPT’ button if you understand and accept the foregoing statement and wish to proceed.

ACCEPTCANCEL

Text

+ -

Reset