Regulation and Compliance issues for Wealth Professionals can be challenging to navigate especially when the SEC is involved. Catch the latest news and analysis on compliance updates that impact financial advisors.
Speaking remotely at the annual conference of the Investment Management Consultants Association, Phyllis Borzi of the DOL strongly suggested that the agency will include some exemptions to its fiduciary rule for certain business practices.
Advocates for the fiduciary standard on the RIA side voiced their concerns over the SEC’s recent request for comments during an fi360 webinar Thursday.
