Event description


SESSION 1:  Implementing DOL PTE 2020-02

The DOL introduced PTE (Prohibited Transaction Exemption) 2020-02, Improving Advice for Workers and Retirees, creating a PTE for investment advice fiduciaries with respect to employee benefit plans and individual retirement accounts including, rollovers.  Complying with ERISA has been challenging due to the stops, starts, delays and retracements in rulemaking.  This session will offer some well-needed practical advice and tools to assist in understanding and complying with the new PTE 2020-02.

Learning Objectives:

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


SESSION 2:  Integrating Ethics into Conflicts of Interest Policies

Conflicts of Interest include codes of ethics, trading requirements and disclosure obligations. Firms must ensure that the concept of ethics is engrained in a firm’s policies and culture. These policies must be designed to adequately identify, mitigate and disclose conflicts of interest. This session will discuss ways to ensure that ethical practices resonate throughout the firm.

Learning Objectives:

  • Analyze your firm’s ethics and conduct culture; discuss normative and behavioral ethics approaches
  • Logistically assess risks and practices by taking inventory of perceived and recognized conflicts of interest
  • Discuss practical situations as a means of determining weaknesses (including following the money)
  • Educate personnel and encourage management to incorporate ethics policies to improve interactions with employees, clients, and vendors


Continuing Education Credits

NSCP will provide a Continuing Education (“CE”) Certificate of Attendance for those attendees who participate in live virtual seminars and correctly answer the post-session CE quiz questions in the required response time.  CPE credits cannot be awarded for any of NSCP’s virtual seminars.

Status Price for 2 Sessions
NSCP Members $100
Non-Members $200
Become a member of NSCP to attend free webinars and receive other member benefits:  LEARN MORE