Best Interest Standard of Care for Advisors #51
By EsqSocial Corporation 25/05/21
The Department of Labor’s “Fiduciary Rule,” PTE 2020-02 (Part 16): Mitigation Strategies - This series focuses on the DOL’s new fiduciary “rule”. This post is the 16th in a subseries discussing special compliance issues related to the rule. This article looks at compliance with the rule’s mitigation requirements, with particular emphasis on broker-dealers and investment advisers....
By: Faegre Drinker Biddle & Reath LLP