Access recordings and slide decks from past sessions of IRI's Standard of Conduct Webinar Series. Launched in January 2020, this series provides members with timely information and analysis from industry experts on standard of conduct laws and rules as they are proposed and adopted at both the federal and state levels.
Standard of Conduct Webinars
Advice to Plans and IRAs
Bruce Ashton and Fred Reish, Faegre Drinker, discussed the compliance issues for insurance companies and broker-dealers presented by PTE 2020-02, the alternative of PTE 84-24, and the DOL guidance that expands the interpretation of fiduciary status.
Exploring PTE 84-24
During the workshop, attorneys from the Groom Law Group walked through PTE 84-24 and related conditions applicable to insurance and annuity sales, and addressed a number of related questions.
From Suitability to Best Interest: The Standard of Conduct Landscape in 2021
IRI’s Regulatory Affairs team provided an overview of the latest developments and a look ahead at the next steps in this critically important space.
Annuities, IRAs, and Rollovers: What’s Next from the DOL
During the webinar, experts from the Groom Law Group focused on what the new exemption and guidance mean for annuity distribution and rollover recommendations.
Understanding the New NAIC Best Interest Rule
The webinar was designed to fully understand the Suitability in Annuity Transactions Model Regulation before it is proposed and adopted in the individual states