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SEC Staff Smooths the Way for DOL Fiduciary Rule Compliance
Perkins Coie LLP 
[Guidance Overview] Dec. 28, 2016 "The SEC's Division of Investment Management released a Guidance Update ... addressing certain procedural issues that have arisen in connection with the so-called 'Fiduciary Rules' adopted by the [DOL]. The Guidance Update will make it easier for mutual funds to create and administer compensation arrangements tailored to comply with the Fiduciary Rules. It does not address, however, the extent to which brokers may independently set their compensation." MORE >> |
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