# DOL Rule

DOL Fiduciary Rule Compliance

DOL Fiduciary Rule Compliance

Is your firm prepared to meet the new Department of Labor fiduciary standards? DOL Compliance Benjamin Franklin’s axiom that “an ounce of prevention is worth a pound of cure” rings true today for those working in the financial industry. Terrapin is actively working...
The DOL Fiduciary Rule and Direct Mutual Fund Business

The DOL Fiduciary Rule and Direct Mutual Fund Business

How will the DOL fiduciary rule impact broker-dealer’s direct mutual fund business? The final Department of Labor fiduciary ruling was enacted this past April, with full implementation scheduled for April 10, 2017. While some have speculated that President-elect...

Newsletter Sign Up

Thank you for subscribing!