Advisors Servicing Retirement Assets Are Targeted by the SEC

Before the new SEC fiduciary standard is published, advisors with a 401(k) and IRA Rollover practice and those advisors operating as investment managers of QDIAs have become a target for on-site examinations by the SEC’s Office of Compliance Inspections and Exams as part of their ReTIRE (Retirement Targeted Reviews and Examinations Initiatives) program since November 2015.

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