What Lies Ahead for RIAs: The DOL and SEC Regulatory Landscape

A Webinar for Registered Investment Advisers Who Are Service Providers to ERISA Plans and IRAs

Overview

With the change in administration, regulatory agencies likely will scrutinize regulations and guidance, and take action to propose new and modified regulations. A panel of attorneys from Faegre Drinker’s Best Interest Compliance team engaged in a lively discussion of what’s ahead for RIAs including:

The DOL expanded definition of fiduciary advice
The DOL prohibited transaction exemption for conflicted advice
The DOL rule on selecting funds that use environmental, social and governance factors (ESG funds)
Compliance with Reg BI and the RIA Interpretation
The DOL proxy voting rule
Missing participant guidance