When: Wednesday, August 1st from 8:30-9:30am (Breakfast @ 8am)
Where: Vestwell, 22 West 38th Street, Floor 10
Who: Carol Buckmann and Lauri London (Cohen & Buckmann P.C.) and Ben Thomason (Vestwell), alongside a small group of retirement and wealth advisors
What: Given increased interest in holistic financial and wellness planning, many financial advisors are looking to construct or expand a private wealth management practice to exist alongside a 401(k) advisory practice. This session will address how to overcome the compliance and operational challenges that come with building out your practice.
Why: Because CE credit and an interesting conversation are worthwhile ways to kick off a summer morning
ERISA exemption for investment
advice to plan participants;
A 401(k) litigation update;
Fiduciary liability insurance vs. ERISA surety bonds; and
The DOL Fiduciary Rule versus the SEC's Regulation BI.
This session will address:
Staying Compliant While Maintaining Both a Wealth Management and Retirement Advisor Practice