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The Tides Are Turning for SEC Enforcement Policies
Corporate Compliance Insights Link to more items from this source
Jan. 18, 2018
"At stake in the prolonged debate over a 'best-interest' standard of care for retirement advice are $7.5 trillion in 401(k)-type assets and $8.4 trillion in IRA assets. Whether or not the [DOL] and the [SEC] will eventually come to agreement on a uniform standard of conduct remains to be seen, but the SEC's inspection and enforcement arms are slowly forging ahead by imperceptibly moving the regulatory needle in favor of the DOL's higher standard for advice-givers."

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