Multnomah Group

Out With the DOL Rule and In With the SEC Rule:
An Update on What Standards Govern Financial Professionals

A Multnomah Group Guide
June 27, 2018

One of the primary responsibilities of a plan sponsor to the retirement plan is the prudent selection and monitoring of service providers.  In order to do so, plan sponsors must understand the standards of conduct that apply.  Unfortunately, there’s no quick explanation, but this Guide seeks to review the current state of the retirement plan industry as it relates to standards of conduct that govern financial professionals. 

This Guide concludes with action items for plan sponsors to consider as the regulations that govern the standards of conduct that apply to financial professionals are in a state of flux and will likely continue to evolve during the coming year (or years). 

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