6 Steps to Compliance with the DOL Fiduciary Rule or a Uniform Fiduciary Standard
Vince Micciche, CEO and Chief Compliance Officer, LifeMark Securities Corp, USA
This treatise is designed to provide all financial advisers with practical guidance to achieving compliance with a fiduciary standard of care regardless of their specialty within the financial services industry. It explores six essential elements required to meet a fiduciary standard of care including the Department of Labor Fiduciary Rule (the DOL Rule). In addition, it can serve as “buyers guide” for the public consumer of financial services.
Part 1 was originally written in early 2017 prior to the effective date of the DOL Rule which was initially April 10th. Since the publication of Part 1 in February, there have been significant developments in the rollout of the DOL Rule worth reviewing – here’s a quick recap to bring us up to present.
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