February 10, 2022
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.
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.
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 awarded for any of NSCP’s virtual seminars.