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Description

This product contains a link to the archived video only. Workbook must be ordered separately.

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Program Overview

The Department of Labor has announced their redefinition of the term “fiduciary” in order to serve the best interests of clients. This means that almost everyone who provides financial advice will legally have fiduciary responsibilities. A panel of experts will explore the ramifications of the DOL decision and help advisors continue to thrive within the new regulations.

Moderator Richard Weber, MBA, CLU, AEP, with panelists Stephen Parrish, JD, CLU, ChFC, RHU, Ernest Guerriero, CLU, ChFC, CEBS, CPCU, CPC, CMS, AIF, and Peter Swisher, CFP, CPC, will discuss the new regulations and their impact on insurance agents, registered representatives, and financial planners. The panel will cover how the law will change the way advisors interact with clients and the advice they give. The panel will talk about how the regulations will affect advisors based on their form of compensation; how the regulations affect the implementation and enforcement process; and how producers and advisors will need to adjust their practices in order to work within the framework of the regulations.

This program will feature a variety of scenarios specifically designed to address the needs of qualified plan advisors, IRA advisors, nonproduct advisors, agents, and brokers.

Attendees will learn:

  • Steps that agents and brokers must take to comply with the regulations
  • How the regulations will impact qualified plan advisors within the Form 5500 framework
  • How the regulations will affect attorneys, CPAs, and RIAs
  • How advisors can restructure their business models to legally and ethically avoid coming under the DOL fiduciary umbrella

Who should attend?

  • Attorneys
  • CPAs
  • Business & Compensation planners
  • Estate planners
  • Financial planners
  • Insurance producers
  • Investment advisors
  • Retirement counselors

Moderator

Richard M. Weber, MBA, CLU, AEP(moderator) was the 2012-2013 President of the Society of Financial Service Professionals. A 48-year veteran of the life insurance industry, he has been a successful agent, an insurance company executive, and now a consultant to insurers and their agents on the topic of effective and ethical selling. Author of more than 300 articles, his most recent research,Life Insurance as an Asset Class,coauthored with Christopher Hause, received the 2008 Academy of Financial Services "Best Paper" award. A member of the Society of Financial Service Professionals for 40 years, Weber has been honored with the Society's Kenneth Black, Jr. Leadership Award.

Panelists:

Steve Parrish, JD, CLU, ChFC, RHU,is an independent consultant, providing services for financial service organizations.He is also an Adjunct Professor at Drake University, focusing on business law.With more than 35 years’ experience as an attorney and financial planner, Parrish frequently addresses the challenges of business owners and executives nationwide.He is a recognizedfinancial servicesauthority, spokesperson, and author serving as an ongoing columnist for bothForbes.comand theJournal of Financial Service Professionals. Parrish has served as an expert source for such prominent media outlets asMarketWatch,Wall Street Journal Radio,HR Magazine, and theJournal of Financial Planning. He is also an Associate Editor of theJournal of Financial Services Professionals. In addition, he is a sought-after speaker with bar associations, estate planning councils, and state AICPA meetings. He has addressed such financial service organizations as MDRT, Association for Advanced Life Underwriting, and Society of Financial Service Professionals. Parrish also addresses numerous business organizations nationwide.
Ernie Guerriero, CLU, ChFC, CEBS, CPCU, CPCis a director and head of Qualified Plan Marketing for the Business Resource Center for Advanced Markets of the Guardian Life Insurance Company in New York. Guerriero provides sales, marketing, and technical support to the field, focusing on qualified retirement plans. Prior to joining Guardian he was the regional vice president of sales for Aviva and also held officer roles at National Life Group and MONY (now Axa). Guerriero has published articles in trade publications, including theJournal of Financial Service Professionalsand theNew York University Review of Employee Benefits and Executive Compensation.He has appeared on The Wealth Channel and he is a speaker at professional industry group meetings on qualified plan design for closely held business owners. He has taught for various colleges on employee benefits and is an insurance continuing education instructor with the Professional Insurance Agents of NY, NJ, and CT. Ernie is on the National Board of the Society of Financial Service Professionals, he is also the Treasurer for the Hudson Valley Society of Financial Service Professionals since 1988. He is a member of the Core Retirement Committee for AALU, a member of the Fiduciary Standards Committee for the Society of Financial Service Professionals, and Government Affairs Committee for the National Association of Plan Advisors.

Peter Swisher, CFP, CPC,is the Senior Vice President and National Sales Director for Pentegra Retirement Services and is known nationally for his work on retirement plan governance. He is the author of401(k) Fiduciary Governance: An Advisor’s Guide, a handbook on fiduciary law and practice for retirement plan specialists and fiduciaries that is currently in its third edition. Pete is a prolific writer and speaker for the financial community and is actively involved with the National Association of Plan Advisors (NAPA) and the American Retirement Association (ARA), and is the past Chair of NAPA’s government affairs committee.

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