The DOL Rule is Going into Effect. Is Your Firm Ready?

On June 9, 2017, the Department of Labor’s highly anticipated Fiduciary Rule will take effect. As your firm’s Chief Compliance Officer, it’s crucial that you evaluate your current procedures to make sure your firm is ready to comply with the new regulation and that your representatives are aware of and understand their required obligations. To assist in the transition, Quest CE has authored a number of courses designed to help firms better prepare for the implementation of this regulation.

Quest CE’s Firm Element catalog contains six courses that provide insight and guidance on the DOL Fiduciary Rule. Each course takes its own track, discussing how the rule will diversely affect various industry experts, including broker-dealers, institutional investment managers and registered investment advisors. Course topics include potential conflicts of interest, fraudulent acts and omissions, the Best Interest Contract Exemption (BICE), compliance requirements, fiduciary liability and more.

Available Courses Include:

  • Department of Labor Fiduciary/Conflicts of Interest Rule
  • Investment Adviser – Fiduciary Responsibilities
  • DOL Rule: Best Interest Contract Exemption
  • DOL Rule: Best Interest Contract Exemption for Broker-Dealers
  • DOL Rule: Best Interest Contract Exemption for RIAs
  • DOL Rule: Best Interest Contract Exemption for Institutional Investment Managers
  • See Course Catalog >>
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As a reminder, any professional giving ongoing advice, making a recommendation or solicitation, or advisors who charge a fee for service on retirement plans will be affected by this regulatory rule change.

For questions regarding these or other Firm Element courses, please contact a Quest CE Sales Executive at 877-593-3366 or e-mail sales@questce.com. To view Quest CE’s Firm Element course catalog, click here.