1c. BD/IA – Compliance Issues related to ERISA Covered Plans and IRAs (Intermediate)
The Department of Labor (“DOL”), Department of the Treasury (“Treasury”), and Internal Revenue Service the last several years have worked to enhance the compliance requirements applicable to financial firms and financial professionals who provide investment products and services to accounts covered by the Employee Retirement Income Security Act (“ERISA”) and individual retirement accounts (“IRAs”). However, the views of these agencies are changing as the new Administration takes control. Additionally, the courts are also weighing in on how the law should apply to these accounts. The purpose of this session is to provide an overview of the current state of ERISA plan and IRA compliance. This session is open to regulators but closed to members of the press.
