This webinar provided real world examples of problems uncovered by the DOL and discussed some strategies for "surviving" an investigation.
Other topics included: the increase in DOL's investigations of Broker-Dealers, RIAs and Recordkeepers; Recordkeepers, RIAs, broker-deals and TPA are being investigated; The focus on fiduciary status, variable compensation, undisclosed compensation, abandoned plans and 408(b)(2) disclosures.
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