Size is not a prohibitive barrier to achieving the successful practice of D&I. What matters most is our willingness to make ourselves uncomfortable initially, and act in new ways that produce far more diverse and inclusive results and that help us...
Some advisors report that few clients have asked any questions resulting from the new disclosure document, leading them to wonder if they are reading it at all. 'I think people might just be a little bit numb to the amount of disclosures.'
The biggest threat to the independent broker/dealer space is the number of advisors going fee-only. Here are some of the costs and considerations for advisors taking that step.
This list will help you become more sensitive and better advocates for your clients.
The SEC says SCF’s corporate RIA failed to self-report the violations during its Share Class Selection Disclosure Initiative.
In a conversation during Riskalyze Fearless Week, Docupace CEO David Knoch also spoke about the new DOL rule and the need for trackable documentation for firms' Form CRS.
