The Translator by RiskPro

Episode 10: Who is Affected by the DOL's Prohibited Transaction Exemption (“PTE”) 2020-02

August 27, 2021 Hosted by Julie Mochan Season 1 Episode 10
The Translator by RiskPro
Episode 10: Who is Affected by the DOL's Prohibited Transaction Exemption (“PTE”) 2020-02
Show Notes

In this second  episode of the series of mini-casts (short podcasts within a podcast) ,The Translator host, Julie Mochan, gets talking about PTE 2020-02 with Chief Compliance Officer and General Counsel for The Pacific Financial Group, Inc. , Jason Luhan.

In December of 2020, the DOL adopted PTE 2020-02

🎙 Jason tells you who is affected by the DOL's final exemption

🎙Jason talks Vol. 55, Issue 3 2010 Fiduciary Obligations of the Broker-Dealers and Investment Advisers  - a.k.a. the Villanova Law Review piece

🎙Investment Advisory and Fiduciary Obligations 

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About The Pacific Financial Group, Inc.:  Since 1984, The Pacific Financial Group, Inc. (TPFG) has built a rich tradition of serving financial advisors and investors with best-in-class investment solutions and unrivalled customer service.
The firm was founded on the single premise that everyone, regardless of their account size, should have access to high quality investment opportunities and independent expert advice. Today, we are a dynamic WealthTech firm that blends over three decades of traditional asset management experience with leading-edge financial technology know-how, to provide products and services that empower financial freedom for advisors and their clients.

Fool disclosure, Jason and Julie are superstars in alternate, noncorrelated universes.