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The weekly news source for investment management legal and compliance professionals

News August 13, 2018 Issue

Industry Representatives Seek Changes to SEC’s Proposed Standards of Care

Harmonize rules for investment advisers and broker-dealers. Impose federal licensing and education requirements on advisory firms. Require advisers to provide clients with account statements. Codify advisory firmsí fiduciary duty in a rule. If these possibilities from the SECís standards of care package proposed in April give you concern, you can take solace knowing that some major industry heavy hitters share them, and have some other concerns, as well.

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