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PFP18ER02 - Regulatory Update

Jun 11, 2018 7:00am ‐ Jun 11, 2018 7:50am

Standard: $49.00


The DOL, SEC and various state legislatures and regulators continue to address the fiduciary obligations of financial planners, including those associated with IRA rollovers. Ron offers an update on recent changes, along with practical suggestions on actions individual advisors should be taking to adopt to the new environment.

Learning objectives:
• Learn of new developments in statutes, regulations, and state common law (i.e., case law) affecting the fiduciary obligations of personal financial planners.
• Ascertain best practices for complying with fiduciary obligations, including investment strategy and investment due diligence, when advising individual clients, plan sponsors, and endowments.


  • Ron A. Rhoades, JD, CFP®, Director, Financial Planning Program, Western Kentucky University
Tags: PFP

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