Given the continued popularity of recommending wrap fee programs to clients, the Securities and Exchange Commission’s (“SEC”) Division of Examinations (“DOE”) recently released a Risk Alert dated July 21, 2021, wherein it...more
On Wednesday, April 6, 2016, the United States Department of Labor (the “DOL”) released the final version of its rule imposing a “best interest” fiduciary standard on financial professionals who provide retirement savings...more
4/13/2016
/ Best Interest Contract Exemptions ,
Best Interest Standard ,
Broker Commissions ,
Conflicts of Interest ,
Department of Labor (DOL) ,
Disclosure Requirements ,
Fiduciary Duty ,
Final Rules ,
Financial Adviser ,
Investment Adviser ,
Retirement Plan