Despite a legal challenge and other controversies, implementation for the SEC’s long-awaited Regulation Best Interest is here, and the agency is set to begin examinations and enforcement.
Some retirement experts expressed surprise that the DOL's proposed exemption for fiduciaries included any expanded investor protections, but they also cautioned the changes lacked teeth.
Does it make sense to continue to dedicate time and effort to ALL accounts? Or, does it pay to outsource accounts below a certain threshold? The following case study shows analysis performed by the Wealth Consulting Team.
While the country slowly emerges from lockdown, the RIA continues to make a series of acquisitions on its way to becoming 'the Mayo Clinic of Wealth Management.'
