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The special charter proposal levels the playing field by applying the same statutes that currently apply to national banks to those fintech companies that choose to apply for the national charter.
While the DOL fiduciary rule gets all the attention, there are lesser-known rules coming for RIAs, including anti-money laundering and mandated succession plans, according to a panel of regulatory experts at the TD Ameritrade Institutional...
Many industry executives expect the trend towards fiduciary standards of advice to continue, driven by market forces if not regulatory action. Others are not so sure.