Compliance Year-End Preparation Checklist

The end of 2016 is fast approaching and the financial services industry has been hit this year with some very important and complicated new regulations, such as the Department of Labor’s Conflicts of Interest Rule (“DOL Rule”) and the Securities and Exchange Commission’s (“SEC”) amendments to Form ADV.  While both of these new rules have compliance dates in 2017, due to the extensiveness of each it is imperative that firms get prepared now.

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