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Proposed Prohibited Transaction Exemption: Best Interest Contracts (PDF)
Pillsbury Winthrop Shaw Pittman LLP Link to more items from this source
[Guidance Overview]
May 10, 2015

9 pages. "The Proposed Rule and 'best interest contract' exemption, when implemented, [may] lead to more 'fixed fee' compensation arrangements and other arrangements under which the investment advice fiduciary's fees do not vary based on the particular investments being recommended. Contracts with such types of compensation arrangements arguably would not need to comply with the 'best interest contract' exemption unless the contract could give rise to third-party payments to the investment adviser (or an affiliate) or other potential conflicts of interest."

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