Not just the DOL: Retirement plan advisers must prepare for increased SEC scrutiny
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SEC now digging into rollover advice, other aspects of conflicts relating to retirement accounts
It's not just the Department of Labor that's out to strengthen protections for retirement savers. The SEC's Office of Compliance Inspections and Examinations (OCIE) is taking a deep dive into the practices of retirement advisers, as well.
As was true in 2015, OCIE has placed “examining matter
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