The Regulators are Setting Their 2017 Priorities. Are You?
Blaine F. Aikin, AIFA®, CFA, CFP®, Executive Chairman of fi360
Duane Thompson, AIFA®, Senior Policy Analyst at fi360
February 07, 2017
FINRA and the SEC have their examination priorities for financial advisors in place for the New Year and the DOL has provided additional guidance on complying with its Conflicts of Interest Rule. As an investment fiduciary, are your due diligence practices ready for testing by securities regulators? In this webinar, we examine the key priorities affecting fiduciary advice, as well as related, trending topics of interest.