One of the scenarios arising from the financial crisis and frauds like the one perpetrated by Bernie Madoff will be greater regulation of broker/dealers. However, securities regulators, rightly or wrongly, are likely to bring registered investment advisors under the same compliance umbrella as registered representatives. Maybe not right away, as the watchdogs have easier pickings with 'unregistered RIAs,' a.k.a. hedge funds, but it's only a matter of time before they get around to the registered crowd.
Secure the future of your business with customers from the largest generation in history.
Part II in a series of articles on working with ultra-high-net-worth clients from IMCA's Investments & Wealth Monitor takes a look at the biggest trends...
Maximize client retention and promote firm growth by using this 6 step interactive client review process.
Oct 05, 2016
Some broker-dealers have already decided to exit certain lines of business and are sizing up how the rule will impact their IT and compliance budgets....
Sep 21, 2016
Join Eric Ryles, Managing Director at Judy Diamond Associates, for a 60 minute session of mutual fund analysis within the Defined Contribution market. Using...
Sep 13, 2016
Nationwide is providing a deeper look into the rule’s implications and a discussion of decisions firms will need to make in order to comply.