Is Your Financial Firm on Track or at Risk?


Despite months of delays and continued speculation about an outright appeal, as of June 9, 2017, the DOL Fiduciary Rule is now officially in effect.

Legislators are likely to continue reviewing the rule and enforcement policies remain unclear, yet most experts and observers agree: The fiduciary standards illuminated by the DOL Rule are now something consumers will expect, if not demand, and firms must respond in kind. This will require firms to take a holistic, data-driven approach to tackling the transition.

This eBook:

  • Highlights specific implications to help executives think about, and plan for, required changes to their distribution, training and development, and field enablement programs
  • Discusses how enablement technologies focused on knowledge reinforcement, coaching, and behavior change can deliver real value to financial firms as they seek to comply with the DOL Rule
  • Shares a list of questions that wealth management executives can ask themselves to prepare for this new regulatory environment and better position their teams for the future