transcript   Transcript

The DOL Conflicts Rule

Recorded on: Apr. 27, 2017
Running Time: 00:58:03

Full Transcript:

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Taken from the Web Program Financial Services Conflicts of Interest & Fiduciary Duties 2017: Navigating the Emerging Regulatory Maze recorded April, 2017 in New York.

The DOL Conflicts Rule [00:58:03]

• DOL focus on adviser and broker dealer identification of conflicts
• The DOL Fiduciary re-proposal and what it means going forward
• The Operation of the BICE exemption
Speakers: Craig Friedman, Robert N. Sobol, Allison E. Wielobob

The purchase price of this segment includes the following article from the Course Handbook available online:

  • Deloitte, DOL Fiduciary Rule: Designing a Conflicts Officer or Conflicts Committee
    Maria Gattuso
  • Eversheds Sutherland (US) LLP, Legal Alert: 2016 Year in Review
    Allison E. Wielobob

Presentation Material

  • The DOL Conflicts Rule - Friedman
    Craig Friedman
  • The DOL Conflicts Rule - Weilobob
    Allison E. Wielobob
Craig Friedman ~ Senior Manager, Investment Management Advisory Practice, Deloitte & Touche LLP
Robert N Sobol ~ Associate General Counsel, Products, TD Ameritrade
Allison E Wielobob ~ Eversheds Sutherland (US) LLP
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