NTSA Webcast: Ethical Issues for 403(b) Advisors
To register for the on-demand recording: If you would like to view the on-demand webcast recording, starting Monday, August 1,2016 and ending July 26, 2017, you will be able to access it through your NTSA My Learning Activities account. Registration for on-demand recorded webcast includes unlimited viewing of the webcast recording to play any time before the one-year expiration date, the webcast outline, and any additional presentation materials.
Description:
In this webcast the speakers discuss the application of professional ethics rules in the context of delivering products and services to the 403(b) marketplace. Specifically, it touches on circumstances unique to 403(b) plans where ASPPA’s and the IRS’ ethical rules, as well as DOL and FINRA standards, come into play.
Key Takeaways:
1. Practically apply ethical rules when dealing with individual 403(b) contract holders, including transferring balances
2. Give advice to fiduciaries with responsibility for making investment decisions under 403(b) plans, including those plans with “legacy” assets
3. Deal with IRS and DOL investigators on 403(b) audits.
Registration Deadlines:
Live: 7/26/16
On-Demand: 7/263/2017
CE Credit: 2 ARA Ethics, 2 ERPA Ethics, no JBEA
About the Speakers:
Bob Toth has been practicing employee benefits law since 1983, maintaining a national practice that focuses on the design, administration, distribution, and fixing of financial products and services for retirement plans. He is the principal of the Toth Law Office of Robert J. Toth, Jr; previously a partner with Faegre Baker Daniels, and managed the legal affairs of Lincoln Financial Group’s retirement plan business, largely focusing on 403(b) plans. Bob is on the Tax Facts Advisory Panel for 403(b); co-author of Thompson Publishing’s, “403(b) and 457 Technical Requirements Handbook;” and an editor of the 457(b) Answer book. He is a senior advisor to ASPPA’s Governmental Affairs Committee, after chairing its Tax Exempt and Governmental Plan and IRS Sub-Committees; a fellow of American College of Employee Benefits Counsel; an adjunct professor at John Marshall Law School, teaching 403(b) and 457 plan courses; and active in the American Bar Association. Bob writes on current employee benefits issues at the businessofbenefits.com.
Available Until July 26, 2017
Webcast Outline: Click Here.
Speakers: Robert J. Toth, Jr., Esq.To register for the on-demand recording: If you would like to view the on-demand webcast recording, starting Monday, August 1,
Description:
In this webcast the speakers discuss the application of professional ethics rules in the context of delivering products and services to the 403(b) marketplace. Specifically, it touches on circumstances unique to 403(b) plans where ASPPA’s and the IRS’ ethical rules, as well as DOL and FINRA standards, come into play.
Key Takeaways:
1. Practically apply ethical rules when dealing with individual 403(b) contract holders, including transferring balances
2. Give advice to fiduciaries with responsibility for making investment decisions under 403(b) plans, including those plans with “legacy” assets
3. Deal with IRS and DOL investigators on 403(b) audits.
Registration Deadlines:
Live: 7/26/16
On-Demand: 7/263/2017
CE Credit: 2 ARA Ethics, 2 ERPA Ethics, no JBEA
About the Speakers:
Bob Toth has been practicing employee benefits law since 1983, maintaining a national practice that focuses on the design, administration, distribution, and fixing of financial products and services for retirement plans. He is the principal of the Toth Law Office of Robert J. Toth, Jr; previously a partner with Faegre Baker Daniels, and managed the legal affairs of Lincoln Financial Group’s retirement plan business, largely focusing on 403(b) plans. Bob is on the Tax Facts Advisory Panel for 403(b); co-author of Thompson Publishing’s, “403(b) and 457 Technical Requirements Handbook;” and an editor of the 457(b) Answer book. He is a senior advisor to ASPPA’s Governmental Affairs Committee, after chairing its Tax Exempt and Governmental Plan and IRS Sub-Committees; a fellow of American College of Employee Benefits Counsel; an adjunct professor at John Marshall Law School, teaching 403(b) and 457 plan courses; and active in the American Bar Association. Bob writes on current employee benefits issues at the businessofbenefits.com.
IRS Program Number: CZTXU-E-00660-16-O
NTSA Member - (Individual Viewer): $0
NTSA Member - (Additional Viewers): $0
Disclaimer
Statements and materials presented on American Retirement Association webcasts are solely the opinions of the speakers and do not represent the opinion or the position of the American Retirement Association. The American Retirement Association assumes no responsibility for the content and materials presented by speakers during the webcast.
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