Rollovers and the Fiduciary Duty

Want to learn more about how to provide rollover recommendations that are in your Client’s best interests? As part of CFP Board’s ongoing Guidance Webinar Series, join us on November 3, 2026, for practical guidance for CFP® professionals advising on whether to roll over assets from a 401(k) to an IRA or another employer-sponsored plan — an important financial decision that can irreversibly influence a Client’s retirement outcomes.

During this free webinar, you’ll learn how to:

• Distinguish when financial education about rollovers becomes Financial Advice;
• Respond when a Client instructs you to roll over assets, but you realize that the direction is based on inaccurate or incomplete information;
• Identify and disclose the conflicts of interest that rollover recommendations can present;
• Apply a structured, 7-step Duty of Care process when providing Financial Advice about a rollover, so you make a recommendation that’s in the best interests of a Client.

You’ll walk away with detailed checklists showing what to consider at each step of the Duty of Care process, drawn from CFP Board’s recently published Guide to Applying the Fiduciary Duty to Rollovers.

This informational webinar does not offer CE credit.

Panelists:

• Fred Reish, JD, Director of Fiduciary and ERISA Practice, Prime Capital Retirement
• Leo Rydzewski, JD, CAE, General Counsel, CFP Board
• Brian Wong, JD, Assistant General Counsel, CFP Board