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Archive for January, 2017

Annual Letter: 2017

This is our annual letter briefly reviewing various issues that our investment adviser clients should consider over the next few…

The Department of Labor Fiduciary Rule’s Effect on Investment Adviser Marketing Practices and Rollover Recommendations

On April 10, 2017, the U.S. Department of Labor (“DOL”) final regulation (the “Final Regulation”) that redefines what constitutes “investment…