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Best Interest Investment Recommendations (PDF)
DALBAR Link to more items from this source
Jan. 28, 2016

"Almost as important as complying with the best interest contract is the need to prove that compliance. The diagnosis that leads to each recommendation is a permanent record of what facts were known at the time of the recommendation and prevents claims of misconduct when future losses occur.... It is ... necessary to define how best interest is determined and then later proven. Practices to comply with best interest contract requirements can then be put in place."  MORE >>

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