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The weekly news source for investment management legal and compliance professionals

News June 5, 2017 Issue

Decision Not to Enforce Fiduciary Rule Leaves Advisers and Brokers Hanging

It sounded so nice: The Department of Labor will not take enforcement actions against advisers, broker-dealers and others that may violate the DOLís Fiduciary Rule until January 2018. Left unsaid in the DOLís recent announcement, however, was what the ultimate fate of the Rule itself will be, and what asset managers should do between now and January to comply.

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