February 10, 2022

National Society of Compliance Professionals 2022 Webinar Series

Implementing DOL PTE 2020-02



Joan Neri, counsel in the Florham Park, New Jersey office, participated during a panel called “Implementing DOL PTE 2020-02” as a part of the 2022 National Society of Compliance Professionals Webinar Series. This session offered practical advice and tools to assist in understanding and complying with the new PTE 2020-02, including:

  • Understanding the scope of being a DOL investment advice fiduciary, including prohibited transactions and exemptions.
  • Gaining awareness of potential DOL rulemaking that impacts the definition of an advice fiduciary.
  • Learning the distinct elements of what is required to qualify for relief under PTE 2020-02.
  • Providing practical considerations for satisfying the PTE 2020-02 disclosure requirement.

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