On February 25, IA Watch’s IA Compliance The Full 360° View two-day conference was held in Washington, D.C. The conference featured compliance officers from across the nation SEC officials, industry insiders and regulatory experts who gathered together to hear and impart compliance best practices and timely alerts on coming regulations.
Investment management counsel David Tittsworth (Washington, D.C.) participated on a breakout panel titled “Why Advisers Need to Prepare for the DOL’s Fiduciary Duty Rule,” which discussed the Department of Labor’s fiduciary duty proposal, how it has riled the industry and explaining the rule’s consequences, as well as steps that should be taken to prepare for its implementation.
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