The Department of Labor’s fiduciary rule has been a hot topic in the financial industry, causing what some have dubbed “Fiduciary Rule Mania.” With recent court cases stemming potential regulatory changes, uncertainty looms large for those navigating the complexities of compliance. In a recent discussion, industry leaders shared their insights on how to best navigate […]
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Earlier this month, the InvestorCOM team attended our strategic partner, Nitrogen’s Fearless Investing Summit (FIS). Miami’s sunshine combined with the nearly 1000 attendees made this the wealth industry event of the year.
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Requirements of PTE 2020-02 To provide perspective on the annual retrospective review for exemptive relief under PTE 2020-02 (“the exemption”), it is helpful for context to review a summary of all the sections of the exemption: Impartial Conduct Standards Best Interest Reasonable Compensation Best Execution No Misleading Statement Disclosure Policies and Procedures Annual Retrospective Review […]
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