DOL Rule Tag

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 with clients to help them prepare for DOL fiduciary rule compliance. Terrapin […]

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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 Donald Trump may try to repeal or at least delay the rule, betting on this can leave […]

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