Hosted By: Warner
Warner attorney’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