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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.
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.
The SEC release asked firms to keep an eye on business continuity, employee supervision and the protection of sensitive investor information during the pandemic.