Remember, Documentation Is Key!

No agent or advisor should be left in the dark on what's happening with the fiduciary rule. Let us fill you in.

The Department of Labor has filed a proposal to extend the transition period of the fiduciary rule. Learn more about what this means for you by reading our ASG article on the update.

  Read Our ASG Article

How can you stay compliant with the fiduciary rule?

  • Thoroughly evaluate a client's goals, needs, risk tolerance, preferences, and other relevant factors.
  • Provide the client with accurate information and be transparent about all commissions, fees, benefits, expenses, and conflicts of interest.
  • Only make recommendations that are in the client's best interest.
  • Sign the necessary attestation and disclosure agreement forms with the client to document that you've done all of the above and your client agrees.
  • Maintain organized files on each client that contain all completed documentation.

Want to speak with one of our experts about the ruling? Fill out the form or contact Harry Rittner (ext. 223) or Kim Williams (ext. 265) at 800-769-1847.

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