Skip to Main Content
Events
Events | May 24, 2022
1 minute read

Rollovers and the Revived DOL Fiduciary “Rule”

Hosted By: Warner

Shane Hansen, Mary Jo Larson, Linda Paullin-Hebden and Diane Currie of Warner presented a webinar focused on the new required rollover disclosures under PTE 2020-02 that begin July 1, 2022. Advisers are struggling with numerous questions and challenges, including:

  • Can I avoid the disclosure if I don’t make a recommendation?
  • When does a discussion with an investor cross the line into a recommendation?
  • How do I document that I haven’t made a recommendation?
  • What information and factors must I consider if I am making a recommendation?
  • Where and how do I get this information?
  • What must be included in my recommendation disclosure?

Warner’s panel addressed these and many more questions surrounding this new rule.
 
Who should attend? This discussion is intended for financial professionals in addition to CCOs.