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DOL to Begin Enforcement of New Fiduciary Advice Exemption
AkermanLink to more items from this source
[Guidance Overview]
Dec. 28, 2021

"Advisers should begin gearing up to ensure their compliance with the Impartial Conduct Standards well ahead of the January 31, 2022 ... While most firms are currently operating in compliance with a best interest or fiduciary standard ... adjustments to policies and procedures are still likely needed. In fact, the DOL has stated that firms complying with current standards under Regulation Best Interest (Reg-BI) or the Advisers Act may not necessarily be in compliance with PTE 2020-02."

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