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17 July 2015 Multimedia

DOL’s Fiduciary Duty Proposal

Practical Implications for Investors and the Asset Management Profession

  1. Linda Rittenhouse, JD
  2. Jim Allen, CFA

The Department of Labor’s proposal to impose a fiduciary duty on those providing advice to retirement vehicles, including IRAs, generated extensive discussion about the merits and practicality of implementing the proposed rule requirements.

CFA Institute Director of Capital Markets Policy Linda Rittenhouse and Head of Capital Markets Policy—Americas Jim Allen, CFA, bring together a panel of experts to discuss aspects of the proposal and its implications: Timothy Hauser, deputy assistant secretary for program operations, Employee Benefits Security Administration; Kathy Ireland, associate general counsel, Investment Adviser Association; and Blaine F. Aikin, CFA, CEO, fi360. Topics covered include:

  • DOL’s intent in proposing this rule
  • Who will be most affected by the proposed rules
  • How the proposed Best Interest Contract Exemption will work
  • The effect on fee-based compensation business models
  • Industry concerns and support

This is an archived recording of a live webinar that took place on 17 July 2015.

DOL’s Fiduciary Duty Proposal: Practical Implications for Investors and the Asset Management Profession (audio)

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