Fiduciary Standards

JoelLewis/finance_skills/plugins/compliance/skills/fiduciary-standards

作者 JoelLewis5c498eacf7057e31238c4c5a8012a1afe9ec7c8a無授權條款收錄於 2026年10月9日更新於 2026年10月9日

Apply the investment adviser fiduciary duty (IA Act Section 206), ERISA fiduciary standards, the DOL fiduciary rule and PTE 2020-02, and state fiduciary rules. Use when the user asks whether a fiduciary standard applies, what the duty of care and duty of loyalty require of an adviser, ERISA Section 404 prudent expert obligations, PTE 2020-02 rollover exemption conditions, DOL fiduciary rulemaking status, or state-level fiduciary developments. Also trigger when users mention 'are we a fiduciary here', 'retirement plan adviser obligations', 'DOL fiduciary rule', or 'dual registrant hat switching' from the adviser side. (For the broker-dealer best-interest standard and the canonical Reg BI vs fiduciary comparison, use reg-bi.)