Complying with Impartial Conduct Standards under the DOL’s Fiduciary Rule

Blaine Aikin, AIFA®, CFP®, CFA®, Executive Chairman, Fi360

Duane Thompson, AIFA®, Senior Policy Analyst, Fi360

June 13, 2017

The suspense is over.   The DOL’s “Fiduciary” Rule will officially go into effect on June 9 at 11:59 p.m. with the applicability of impartial conduct standards on all retirement advice. There are three components to the impartial conduct standards: complying with a best-interest standard, charging only reasonable compensation and avoiding misleading statements.  

Join us as we discuss how advisors and their firms should adopt policies and procedures designed to conform to the principles of the impartial conduct standards and the outlook for full implementation of the Rule, including the Best Interest Contract Exemption.