Date: January 11, 2017 Evaluating Investor Communication Touchpoints in Response to the DOL Fiduciary Rule (pdf)
Date: October 25, 2016 Operational Process Flows and Considerations Related to Dealer/Custodian Resignations in Response to the Fiduciary Rule (pdf)
Date: August 19, 2016 The Evolution of the Financial Intermediary Controls and Compliance Assessment (pdf)