NOTE: 

Due to the growing seriousness of the Covid-19, and concern for our attendees, the WP&BC Orange County Chapter Board of Directors has decided that the August 20th Breakfast Forum will be provided via a webinar. 

All participants will receive their requested Continuing Education certificates once the webinar is completed. 

Challenges & Opportunities: 

Evaluating the impact of pending DOL regulations on you and your clients

The Presentation:

As the November elections draw closer, governmental agencies are fast tracking a number of new initiatives.  The Department of Labor (“DOL”) has proposed two highly controversial regulations in late June, both of which are expected to be finalized in the next couple of months.  Additionally, at the end of last year, Congress instructed both DOL and IRS to issue regulations implementing changes under the SECURE Act, including those relating to Pooled Employer Plans (“PEPs”) and Pooled Plan Providers (“PPPs”).  During this webinar, Jason C. Roberts will describe how all of these rules will affect plan sponsors and their service providers, answer the questions below and provide attendees with actionable takeaways they can use to help clients navigate the changes to come. 

• How does the proposed regulation affecting ESG investments work and how will it impact advisors and consultants?
• How does the proposed class exemption for investment advice (aka fiduciary rule 3.0) differ from prior iterations and what are the key takeaways for retirement plan service providers?

The Speaker:

Jason Roberts is the founder and CEO of Pension Resource Institute, LLC (PRI). The firm helps banks, broker-dealers and registered investment advisers implement and maintain profitable strategies for serving retirement investors. In addition to his role as CEO of PRI, Jason is the founder and managing partner of Retirement Law Group (RLG), a firm serving plan sponsors, investment professionals and service providers in all aspects of retirement-related products and services. 

Prior to founding PRI and RLG, Jason was a partner and co-chair of the Financial Services Group at a leading ERISA law firm and the head of the Investment Fiduciary practice for a national securities law firm.

Jason has published numerous articles focusing on ERISA and securities compliance, fiduciary best practices and is a frequent speaker at retirement plan and financial industry conferences. He is a contributing author and faculty member for the Practicing Law Institute.  Jason has been repeatedly recognized as one of the “100 Most Influential in Defined Contribution” by the 401(k) Wire and a “Rising Star” by SuperLawyers Magazine and was selected by InvestmentNews as one of the Top 40 Advisors and Associated Professionals under 40. The Wall Street Journal also tapped Jason for its Ask the Experts series answering readers’ questions relating to the DOL Fiduciary Regulation.

Jason received his B.S.B.A in Finance & Banking from the University of Missouri and his J.D. from UCLA Law School.

Outside of work, you can find Jason deep sea fishing, tending a wide range fresh produce in his garden, cooking, and spending time with his wife, Val, and their new daughter, Lola.

Continuing Education: 

 Our program will begin at 8:00 a.m. and this program will end at approximately 9:45 a.m.  

WP&BC Members can bring a guest for free!  This is a wonderful opportunity to introduce your peers and colleagues to our Chapter.  Remember, your guest should be a first-time visitor and potential member.   Look for the free guest offer when you register online.

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.