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How brokers can address potential revenue conflicts under DOL fiduciary rule

April 5, 2016

How brokers can address potential revenue conflicts under DOL fiduciary rule

Common compensation streams may need to be treated differently under different regulatory structures

Apr 4, 2016 @ 12:27 pm | By Robert Cirrotti | Investment News

While the Department of Labor is expected to announce its final Conflict of Interest Rule on Wednesday, questions about whether existing compensation models satisfy current standards are also intensifying. Regulators are scrutinizing current practices as they work to change fiduciary rules.

Firms who fully understand the current environment will be in the best position to respond to new regulation. This understanding will allow them to better assess the impact of necessary changes on their business model.

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