Compliance Administration | Page 28 of 28 | Fairview Investments

News & Insights: Compliance Administration

Flash Reports
06 Apr, 2017

Applicability of the Fiduciary Rule Extended

On April 5, 2017, the Department of Labor issued a 60-day delay of the Fiduciary Rule’s applicability date to June 9, 2017. This extension applies to related exemptions as well, including the Best Interest Contract Exemption.

Flash Reports
23 Feb, 2017

SEC Releases ‘No-Action’ Letter Concerning the Custody Rule

SEC released a ‘no-action’ letter to address confusion surrounding the Custody Rule and its requirements for first-party and third-party money movement.

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