Cross-Selling Strategies & ERISA Compliance: Avoiding The Regulatory Crosshairs

In light of what is widely being perceived as a new era in ERISA-related litigation, examination & enforcement, many broker-dealers and RIAs are reexamining their service models to assess and manage fiduciary risk. The DOL is scheduled to finalize additional regulations this year, including participant advice and fee disclosure that could significantly increase such risks. Congress has further indicated that it is prepared to fill the gaps needed to protect retirement plan participants and their beneficiaries. Cross-selling additional products and services - including IRA rollovers - to existing clients, plan participants and beneficiaries is expected to receive particular attention. In addition to discussing recent findings, this session will provide a set of action items to help advisors identify and mitigate cross-selling risks when servicing ERISA clients.


Segment One
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Jason Roberts
Partner & Co-Chair Financial Services Group, Reish & Reicher
Jason C. Roberts, Esq., AIFA is a partner of the law firm of Reish & Reicher, specializing in employee benefits and securities regulation. He counsels broker-dealers, registered investment advisers (RIAs), hedge funds, private equity funds, retirement plan sponsors and plan providers in ERISA and investment-related matters. Jason represents clients in federal and state court at the trial and appellate level (including the United States Supreme Court) and in arbitrations before FINRA. He also counsels clients involved in government enforcement proceedings and employment disputes. Jason has published numerous articles on fiduciary best practices, ERISA compliance and securities regulation. He is a nationally recognized speaker on issues such as fiduciary concerns, the efficacy of retirement savings programs and service provider due diligence and disclosure requirements. Jason is frequently quoted by both professional and public publications, including The Wall Street Journal, InvestmentNews, Dow Jones News, Ignites, PLANSPONSOR Magazine, PlanAdviser Magazine, Institutional Investor, Fund Action, and FSI Voice. He received his B.S.B.A. in Finance & Banking from the University of Missouri and his J.D. from the University of California, Los Angeles (UCLA).


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