Legacy of the Fiduciary Rule

  • Thursday, November 29, 2018
  • 11:30 AM - 1:00 PM
  • Capital Group, 6455 Irvine Center Drive, Irvine, CA
  • 45

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  • You may register additional employees of your company at the member rate. Please use the guest registration field below.

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Legacy of the DOL Fiduciary Rule

Meet us at American Funds Campus, 6455 Irvine Center Dr, Irvine

Doors open at 11:30 a.m. for check-in, lunch and networking.

  Our Presentation:

·       Major changes to investment advice and management prompted by the rule

·       Post revocation DOL rule considerations and best practices

·       What’s next? SEC standards of conduct, states fiduciary rules and DOL 2.0

The now-revoked Department of Labor fiduciary rule sparked a host of changes to how financial advisors work with plans as well as the available investment products.  Some of these changes have been walked back with the rule’s revocation while others are here to stay.  This presentation will discuss the legacy of the Department’s fiduciary rule, best practices given the changing landscape and the extent to which the fiduciary rule lives on in other rule makings.   

 Our speaker:

Jason Bortz, Senior Counsel and Senior Vice President, Capital Group

Jason Bortz is a senior vice president and senior counsel at Capital Group, the investment manager to the American Funds. He has been practicing law for 20 years and has been with Capital Group for seven years. Prior to joining Capital, Jason was a partner with Davis & Harman, LLP in Washington, D.C. Before that, he was a law clerk for a federal court of appeals judge. 

He holds a juris doctorate degree from Cornell Law School and a bachelor’s degree in philosophy from Hamilton College. He is a contributing author to several books, including the 403(b) Answer Book, the Annuities Answer Book, The Complete Guide to Nonprofits and BNA’s Tax Management Portfolio on Cash or Deferred Arrangements. He is a member of the California, New York and Washington, D.C. bars. Jason is based in Los Angeles.

  This Seminar will be held in the offices of The Capital Group.  Check-in is from 11:30 a.m.  Due to the special nature of this program, we cannot accept walk-ins the day of the event.

Continuing Education:

  • 2 CE for AIF (pending)
  • 2 CECs for ERPA 
  • 2 CPEs for ASPPA certifications
  • 2 CECs for NIPA certifications
  • 2 hours for California CPAs 
  • 1.75 hours of California MCLE
  • 2 hours for Certified Financial Planners (pending)

Who Should Attend:

·      Plan Fiduciaries and Plan Sponsors who want to know what fiduciary standards apply to their plan’s investment advisors

·      Financial Advisors who want to know what they might expect from SEC and state fiduciary standard activities  

·     Auditors who want to know what effect SEC and state activity may have on fiduciary issues

·     TPA Firms and Recordkeepers who would like to know how SEC and state activity may affect their fiduciary exposure

  • Consultants and Attorneys who would like to delve into how SEC and state activity may affect investment advisory fiduciary exposure

Due to the special nature of this program, we cannot accept walk-ins the day of the event.

 The statements and materials presented at WP&BC Orange County Chapter events are solely the opinions of the speakers and do not represent the opinions or positions of WP&BC Orange County Chapter. In addition, WP&BC Orange County Chapter assumes no responsibility for the content or accuracy of the statements and materials presented by speakers at WP&BC Orange County Chapter events.

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