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Commentary: Much sooner than anticipated, the Department of Labor released its proposed new fiduciary compliance rules for investment advisers. The rules are aimed specifically at brokers who currently provide investment advice to clients under the “suitability” requirement (which currently exempts brokers from being fiduciaries).
Background: Fiduciary care vs. suitability
Robert C. Lawton, AIF, CRPS is the founder and president of Lawton Retirement Plan Consultants, LLC. Mr. Lawton has over 30 years of retirement plan consulting and administration experience and has … Read full bio
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