Tag Archives: Regulatory oversight

Post CRM: Where Do We Go From Here? (IIAC Blog)

Post CRM: Where Do We Go From Here? (IIAC Blog)

The second and final phase of the Client Relationship Model (CRM) will take effect on July 15, 2016, a scant nine months away. This date marks the culmination of a four-year effort to build a comprehensive regulatory framework for the client-advisor relationship.

The IIAC has started to think about where do we go from here. Some regulators believe the rule framework does not go far enough to meet the clients’ broad needs, and that more regulation is the answer.

My guest column, which appears in the November edition of Investment Executive, sets out some preliminary … Continue reading

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