Conferences and Speeches

2016 Money Management Institute Legal & Compliance Seminar

Friday, June 17, 2016

If adopted, the U.S. Department of Labor’s proposed “Definition of the Term ‘Fiduciary’; Conflict of Interest Rule – Investment Advice” will have an immense impact on the advisory solutions industry and how firms provide service to plan sponsors and IRAs. Dan Kleinman, Lindsay Jackson, and Brian Baltz spoke on the panel “DOL Fiduciary Rule Proposal” and discussed how the new rule broadens the fiduciary definition, limits exceptions, and revises prohibited transaction exemptions.