Events

WEBINAR--DOL PTE 20-02: Self-Corrections, Retrospective Reviews & Penalties for Non-Compliance

September 13, 2022

Individual Registration Option

FIRMA Member Price: $130.00
Non-Member Price: $195.00

Group Registration Option

Three or more Group, per attendee - FIRMA Member: $85.00
Three or more Group, per attendee - Non-Member: $150.00
Registration Form

Description

 

 

“DOL PTE 20-02:
Self-Corrections, Retrospective Reviews & Penalties for Non-Compliance”

Tuesday, September 13, 2022
3:00 - 4:30pm ET

 

Speaker
Jason C. Roberts, Esq.
Chief Executive Offier
Pension Resource Institute, LLC and Retirement Law Group
San Diego, CA

 

With the Fiduciary Advice PTE now fully in effect, financial institutions have turned their focus on interpreting requirements and implementing policies to maintain compliance with its conditions. Self-corrections and retrospective reviews are at the top of the list of priorities. The former requires a detailed understanding of the penalties for engaging in non-exempt prohibited transactions – both under ERISA and the Internal Revenue Code. According to the final rule, any such corrections must be “specifically set forth in the written report of the retrospective review.” 

During our webinar, Jason C. Roberts, Esq., CEO of Pension Resource Institute and Retirement Law Group, will share lessons learned in helping over 100 banks, broker-dealers and RIAs design, implement and maintain compliance frameworks to ensure compliance with the PTE and related legal and regulatory requirements.  Attendees will be provided with actionable takeaways and an opportunity to ask Mr. Roberts questions in real time.

 

 

 

 

 

CONTINUING EDUCATION
Certified FIRMA Members and Cannon CFIRS®, CCTP™, CRPP™, AFIM®, CTOP®, CTA, and CTCP Professionals are pre-approved for 1.5 CE’s for this Webinar.  We have applied to the American Bankers Association for pre-approval of CE's and will post that information when received. 
Check with your credentials provider for specific applicability.  
 

Thank you to our sponsors:


 
 

NOTE:  FIRMA encourages you to extend a special invitation to your Bank Counsel, Audit Executives, and Retirement Services First Line Executives to attend our program.

This program will be recorded for playback by registered attendees.
 

REGISTRATION DEADLINE IS SEPTEMBER 6TH

Upcoming Events

Registration Deadline

September 6, 2022

Registration

Individual Registration Option

For individuals registering for a single webinar, please check one of the following:

Group Registration Option

For companies registering three (3) or more employees, please check one of the following:

Before registering and paying as a group attendee, please confirm with your employer that they will be sending at least three attendees.

Group coordinators wishing to register several attendees and make a single payment may contact Amy Caple at the FIRMA Office for assistance. Please call (770) 790-8355 or email to amy@thefirma.org

Payment Type

Cancellation Policy

Cancellations received through September 6, 2022 will be refunded less a $25 service charge. Cancellations made after September 6th are non-refundable. Written notification is required to process any cancellation or refund.