RIABiz

News, Vision & Voice for the Advisory Community

RIABiz

The DOL's final rule contains a litany of 11th hour concessions to brokers that show Wall Street lobbyists earned their keep

12(b)1 fees, variable annuities and proprietary products are all still allowed and so is partiality in the sales process

Wednesday, April 6, 2016 – 10:00 AM by Lisa Shidler
Admin:
0 Comments
no description available
Thomas Perez: We don't believe it's necessary for an employee of MetLife to have an obligation to advise a client about the products that New York Life is selling.

Related Moves

With fears rising that robo-advisors can disrupt $2-trillion target date fund universe, NextCapital raises fresh $30 million and wins five big customers, but can its software spur widespread TDF adoption?

TDFs are cash cows and asset magnets but also dumb robots in an era of smarter ones and the Chicago-based outsourcer is promising answers -- most recently to Franklin Templeton

September 22, 2020 – 8:59 PM


Mentioned in this article:

Pension Resource Institute, LLC
Compliance Expert
Top Executive: Jason C. Roberts

Retirement Law Group, PC

Top Executive: Jason C. Roberts




RIABiz Directory

The Industry Sourcebook for RIAs

   |    LISTING


RIABiz Directory sponsored by:

Directory Sponsor Logo