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The Securities and Exchange Commission has released guidance to help mutual funds streamline the process of offering certain fee structures that are designed to achieve level compensation consistent with the Department of Labor’s fiduciary rule, which takes effect on April 10.
The seven-page guidance, issued by the Division of Investment Management in December, focuses on disclosure issues and certain procedural requirements with offering variations in mutual fund sales loads and new fund share classes.
Many advisors would love some common sense to be exercised in 2017 with respect to the DOL’s fiduciary rule.
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ThinkAdvisor’s TechCenter is an educational resource designed to give you a competitive edge by keeping you abreast of new tech innovations and need-to-know information that can be applied to your business. Resources Outlook 2017: Capitalizing on Change
Read our outlook to help find opportunities amid uncertainty in 2017. Our market strategists offer views on the economy and the stock and bond markets….
Consider the benefits of converting to a fee-based model, along with comparing it to a commission structure.
We’ve developed strategic and tactical workflows to help you get easy, flexible workflows to help you through most scenarios.
Join this complimentary webcast that will provide a deeper appreciation for these client segments and their needs, and show how advisors can offer protection and…
Join this complimentary webcast to hear best practices and next steps for operating effectively in the face of fiduciary regulations.
Join this complimentary webcast that will provide cybersecurity tips for compliantly protecting firm & client data.