Defined Benefit Combo Cash Balance Compliance Consultant Loren D. Stark Company (LDSCO)
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AimPoint Pension
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Compass
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Regional Vice President of Sales The Retirement Plan Company
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Bates & Company, Inc.
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Loan & Distribution Specialist AimPoint Pension
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Best Interest Standard of Care for Advisors, Part 25
FredReish.com [Guidance Overview] Feb. 18, 2020 "Regulation Best Interest (Reg BI) and the Interpretation Regarding Standard of Conduct for Investment Advisers (RIA Interpretation) require that broker-dealers and investment advisers evaluate the account types their firms offer -- in light of the investor's investment profile -- to make a best interest recommendation. In other words, both types of firms, and their advisors, must first consider the account type that is appropriate for the investor. That raises the obvious question of 'What is an account type?' " |
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