Tag Archives: Compliance

Proposed client-focused reforms: How they could impact independent firms’ operations? (IIAC Blog)

Proposed client-focused reforms: How they could impact independent firms’ operations? (IIAC Blog)

I have written a column for Investment Executive that discusses how independent firms may restructure or retool their wealth-management operations to mitigate the negative impacts of the CSA’s proposed client-focused reforms. 

You can read the column here.

 

 

 

 

 

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