 The regulators want to see that advisors are acting as responsible fiduciaries. They [regulators] also want direct visibility into everything that’s pertinent to these fiduciary responsibilities."Karla Paxton, Client Engagement Manager, ByAllAccounts. |
15 Compliance Trends that Will Impact Your Practice in 2014
Karla Paxton | By All Accounts, December 2013
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Summary: What will happen in the financial services industry in 2014 in the world of compliance? What trends will predominate as financial advisors seek to meet regulatory requirements, and which issues will come to the fore? Furthermore, what issues that have been key compliance mandates in the past will continue to dominate the discussion?
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