February 10, 2022

National Society of Compliance Professionals 2022 Webinar Series

Implementing DOL PTE 2020-02

Webinar

Overview

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.
Speaking Recap

Related Legal Services

The Faegre Baker Daniels website uses cookies to make your browsing experience as useful as possible. In order to have the full site experience, keep cookies enabled on your web browser. By browsing our site with cookies enabled, you are agreeing to their use. Review Faegre Baker Daniels' cookies information for more details.