by James Pfeiffer | Feb 7, 2017 | Risk and 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...
by James Pfeiffer | Dec 20, 2016 | Strategic Growth
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...
