Compass
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Regional Vice President of Sales The Retirement Plan Company
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Bates & Company, Inc.
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Loan & Distribution Specialist AimPoint Pension
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Defined Benefit Combo Cash Balance Compliance Consultant Loren D. Stark Company (LDSCO)
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AimPoint Pension
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SEC Interpretation: Standard of Conduct for Investment Advisers
Cadwalader, Wickersham & Taft LLP [Guidance Overview] July 1, 2019 "The Release affirmed the SEC's long-standing view that the scope of an adviser's obligations must be based on overarching principles, as opposed to a laundry list of specific obligations. However, the Release does provide some useful examples of the application of an adviser's fiduciary duty obligations to its clients, and additional information as to the SEC's view of what constitutes full and fair disclosure by an adviser of its conflicts and informed consent to those conflicts by a client.... The Release does not take a position on the scope or substance of any fiduciary duty that applies to an adviser under applicable state law, nor does it address the extent to which the Advisers Act applies to impersonal investment advice." |
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