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Best Interest Standard of Care for Advisors, Part 20
FredReish.com Link to more items from this source
[Guidance Overview]
Dec. 11, 2019

"While June 30 may seem like distant date, it will be upon us before we know. From the firm's perspective (i.e., the broker-dealer or RIA), the [Form CRS/ADV Part 3] must be developed, training must be developed and delivered, policies and procedures need to be written, supervisory systems need to be designed and put in place, and on and on. Now is the time to be working on this project regardless of whether your firm is an investment advisor, a broker-dealer or a dual registrant."

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