What Now? DOL PTE 2020-02 “Day 2”
Compliance and legal teams have spent months reviewing DOL PTE 2020-02 to determine steps for firms to take to adhere to the rule. Now that we are over two months into the rule’s implementation, we will explore:
- How are firms handling the documentation process and scaling the review?
- What processes are firms using to manage new workflows and analysis?
- How do firms plan to address violations?
Join the FSI Compliance and Operations & Technology Councils for this “Day 2” discussion of DOL PTE 2020-02, beginning with a regulatory update from FSI partner Winget, Spadafora & Schwartzberg, LLC. In addition, three FSI member firms will share what they are doing to stay compliant using workflows and technology and their interpretation of the rule. And, of course, there will be ample time for attendees to discuss, ask questions and share their own best practices.
This complimentary event is open to FSI members only.