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Date: April 21, 2021 Time: 10:30 a.m. - 11:00 a.m. ET Contact: Elise.Hoffer@ThompsonHine.com, 513.352.6748

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A complimentary&nbsp;webinar&nbsp;presented by Thompson&nbsp;Hine&nbsp;LLP

Join us for a mid-morning break each Wednesday to chat about hot topics and trends relevant to your business. Our concise and practical discussions will focus on a variety of developments that impact financial service industries, and we’ll offer insights and considerations that will certainly be of interest to you.

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Session Thirteen:&nbsp;ERISA’s Five-Part Investment Advice Test - The DOL Changes Course

In this session of our Coffee Chat series, we will examine the Department of Labor’s (DOL) recently updated parameters for determining when a person provides investment advice triggering ERISA fiduciary status as outlined in its five-part test. We will also delve into how the DOL’s interpretation of the five-part test has changed with respect to rollover recommendations and when investment professionals providing such recommendations become ERISA fiduciaries. Finally, we will discuss the availability of a new prohibited transaction exemption (PTE) to address the inherent conflicts of interest that arise when rollover recommendations rise to the level of investment advice.

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Upcoming program&nbsp;in this series (you must register separately for each):

*Please note the date change for this upcoming session.

Questions? Contact Elise Hoffer <a href="mailto:Elise.Hoffer@ThompsonHine.com?subject=Investment%20Management%20Coffee%20Chats" target="_blank" rel="noopener">Elise.Hoffer@ThompsonHine.com</a> 513.352.6748

Session Thirteen: ERISA’s Five-Part Investment Advice Test - The DOL Changes Course

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IM Coffee Chat – Session Thirteen: ERISA’s Five-Part Investment Advice Test – The DOL Changes Course