DOL Rule Tag

DOL Fiduciary Rule Compliance
DOL Fiduciary Rule Compliance

Feb 7, 2017 |

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

Dec 20, 2016 |

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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