The applicability deadline for the DoL Rule is fast approaching, with April 10 less than 3 months away. But according to a study by SEI, only 11% of advisors feel prepared for the changes. Some are hoping the Trump administration will delay or repeal the rule. But the global compliance trend for Wealth Management is undeniable, with the U.K., Canada, and Australia all implementing even more stringent fiduciary rules in the past 5 years.
Wealth Management firms who want to not only avoid the Regulator spotlight, but set themselves up for decades of future success will take this opportunity to create better processes that will make any future regulatory changes easier to manage. On February 2nd, join leading compliance law firm Lowenstein Sandler, together with Agreement Express CEO Mike Gardner, for a live webinar on how Wealth Management firms can comply, compete, and pave the way for the DoL Rule from both a legal, and technology perspective.
Webinar attendees will learn:
- How to prioritize key DoL compliance measures
- Strategies for making DoL documentation seamless
- Why most CRMs provide insufficient record keeping for the DoL Rule
- Date: February 2nd, 2016
- Time: 11:00am PST / 2:00pmpm EST
- Subject: Complying with the DoL Fiduciary Rule
- Speakers: Legal compliance firm Lowenstein Sandler, with Agreement Express CEO Mike Gardner
- Registration: Now open, while spots are available. Registration link here.
If you are looking for a simple, effective framework to help your firm efficiently comply with the DoL Fiduciary Rule, register for this live webinar.REGISTER FOR WEBINAR