 Instead of bickering over whether suitability is the equivalent of fiduciary, adopt a generic standard of the customer comes first."Harvey Pitt, Former SEC chief |
More Advisor Audits Needed—Only Not From SEC
Gil Weinreich | Think Advisor, December 2014
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Summary: The SEC’s examinations of independent advisors have become as rare as they are dreaded, thus adding potentially unfair pressure to the few who are scrutinized while disserving the public by letting most advisors go unaudited.
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