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How to Communicate Dealer/Custodian Resignation Activities

Is Your Firm Prepared?

According to ICI whitepaper regarding the DOL final rule defining “fiduciary,” certain financial intermediaries (and mutual funds in limited circumstances) may choose to resign as Broker-Dealer of Record or both Broker-Dealer of Record and Custodian.

Delta Data anticipates the needs of the parties affected by the DOL Fiduciary Rule change.

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