The US Department of Labor (DOL) has issued its first set of FAQs under the fiduciary investment advice rule (the “Rule”) and related prohibited transaction exemptions. In general, the Rule provides that parties providing...more
11/21/2016
/ Best Interest Contract Exemptions ,
Broker-Dealer ,
Conflicts of Interest ,
Department of Labor (DOL) ,
Employee Retirement Income Security Act (ERISA) ,
Excessive Fees ,
Fiduciary Duty ,
Fiduciary Rule ,
Financial Institutions ,
Grandfathered Obligations ,
Individual Retirement Account (IRA) ,
Investment Adviser ,
Retirement Plan