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Warner attorney’s presented the virtual CCO Roundtable discussion focused on “Fiduciary Duties Under DOL PTE 2020-02 and Rollover Practices,” on Wednesday, September 1, 2021, at 12:00 noon. This virtual roundtable addressed when investment advice to retirement plan investors is considered fiduciary advice under Department of Labor PTE 2020-02, the requirements under PTE 2020-02 and the recent $96 million SEC settlement with TIAA arising from conflicts of interest in its rollover practices.

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Attendees must be chief compliance officers or have equivalent responsibilities to participate. To facilitate an open and candid discussion among CCOs, we ask that these discussions be treated confidentially.

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Look for a future CCO Roundtable Series invitation for the upcoming event scheduled for:  November 3, 2021

Funds and Investments

Senior Compliance Consultant

Diane M. Currie

Dana R. Dawe

Partner

Shane B. Hansen

Brian J. Masternak

Associate

John C. Muhs

Linda Paullin-Hebden

Virtual CCO Roundtable Series: Fiduciary Duties Under DOL PTE 2020-02 and Rollover Practices

The Warner Norcross + Judd LLP lawyer responsible for the contents of our advertising and this website is managing partner <a href="/people/mark-j-wassink/" aria-label="Mark Wassink">Mark Wassink</a> who can be reached at <a href="mailto:mwassink@wnj.com" aria-label="email Mark Wassink">mwassink@wnj.com</a> or 616.752.2189. Please read our full <a href="/privacy-policy/" aria-label="see privacy policy">privacy policy</a> available on our website.

Virtual CCO Roundtable Series: Fiduciary Duties Under DOL PTE 2020-02 and Rollover Practices

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