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Regulators are planning to take a detailed take a look at how advisors are dealing with a brand new rule on advertising and marketing and promoting, describing their strategy to value-based investing, and complying with the Regulation Finest Curiosity recommendation normal.
The Securities and Trade Fee has issued its annual record of examination priorities, a doc that, whereas not exhaustive, successfully places registrants on discover a few laundry record of compliance points that the company finds regarding.
The…
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