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