RIAs and broker-dealers charge ahead in prep for DOL fiduciary rule
Jamie Patrick Hopkins
Registered investment advisers and broker-dealers are taking the Department of Labor's decision to decline another round of delays for the fiduciary rule in stride.
Indeed, it looks to be business as usual for registered investment advisers, although some firm heads discussed this morning the need to be even more vigilant with respect to record-keeping, especially with individual retirement accounts, to be able to show they're acting in clients' best interests.
Kelly, Bruce and Skinner, Liz, "RIAs and broker-dealers charge ahead in prep for DOL fiduciary rule" (2017). In the News. 2240.