As the regulatory landscape is constantly evolving, Compliance Risk Concepts (“CRC”) is issuing its monthly […]
COMPLIANCE BULLETIN: DOL FIDUCIARY RULE Spotlight On Talent: David Amster, Principal and Head of Fund and Dealer Advisory The United States Department of Labor (“DOL”) recently finalized rules that require financial institutions that offer retirement advice to address conflicts of interest (“COIs”) that arise as a result of offering such advice (the “Fiduciary Rule”). The effective date is April 10, 2017. As one would expect with any new rule of this magnitude, there are potential minefields everywhere. David Amster, examines these minefields and discusses what you need to know about the DOL Fiduciary Rule to stay ahead of the game.
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ABOUT DAVID AMSTER David Amster, Principal and Head of Fund and Dealer Advisory, is responsible for CRC’s business development, client relationship management and for supervising the execution of strategic engagements. David joined CRC in September 2016 from CRT Capital Group LLC, where he served for more than 15 years as Managing Director and Chief Compliance Officer.