WEBINAR--DOL PTE 20-02: Self-Corrections, Retrospective Reviews & Penalties for Non-Compliance

Individual Registration Option

FIRMA Member Price: $130.00
Non-Member Price: $195.00

Group Registration Option

Three or more Group, per attendee - FIRMA Member: $85.00
Three or more Group, per attendee - Non-Member: $150.00
Registration Form

Description

“DOL PTE 20-02:
Self-Corrections, Retrospective Reviews & Penalties for Non-Compliance”
Tuesday, September 13, 2022
3:00 - 4:30pm ET
 

Speaker
Jason C. Roberts, Esq.
Chief Executive Offier
Pension Resource Institute, LLC and Retirement Law Group
San Diego, CA
 

With the Fiduciary Advice PTE now fully in effect, financial institutions have turned their focus on interpreting requirements and implementing policies to maintain compliance with its conditions. Self-corrections and retrospective reviews are at the top of the list of priorities. The former requires a detailed understanding of the penalties for engaging in non-exempt prohibited transactions – both under ERISA and the Internal Revenue Code. According to the final rule, any such corrections must be “specifically set forth in the written report of the retrospective review.” 

During our webinar, Jason C. Roberts, Esq., CEO of Pension Resource Institute and Retirement Law Group, will share lessons learned in helping over 100 banks, broker-dealers and RIAs design, implement and maintain compliance frameworks to ensure compliance with the PTE and related legal and regulatory requirements.  Attendees will be provided with actionable takeaways and an opportunity to ask Mr. Roberts questions in real time.

CONTINUING EDUCATION
Certified FIRMA Members and Cannon CFIRS®, CCTP™, CRPP™, AFIM®, CTOP®, CTA, and CTCP Professionals are pre-approved for 1.5 CE’s for this Webinar.  We have applied to the American Bankers Association for pre-approval of CE's and will post that information when received. Check with your credentials provider for specific applicability.  
 

Thank you to our sponsors:


 
 

NOTE:  FIRMA encourages you to extend a special invitation to your Bank Counsel, Audit Executives, and Retirement Services First Line Executives to attend our program.

This program will be recorded for playback by registered attendees.
 

REGISTRATION DEADLINE IS SEPTEMBER 6TH