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Best Interest Standard of Care for Advisors, Part 34
FredReish.com Link to more items from this source
[Guidance Overview]
Oct. 7, 2020

"[Part 33 in this series] discussed the requirement to mitigate incentives that might incline a financial professional to make recommendations that are in the best interest of the professional, rather than the best interest of the investor. It also looked at how the SEC explained the concept of mitigation. This article provides a more concrete definition of mitigation by quoting and commenting on several of the examples given by the SEC in the Adopting Release for Reg BI."

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