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| Client Relationship Summary |
| Form CRS must be delivered to a “retail investor.” There are two components to the definition of retail investor—that the investor: 1) must be a natural person or his/her legal representative, and 2) seeks to receive or receives services primarily for personal, family or household purposes.
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| Evaluating Reg BI Compliance |
| In a Risk Alert published by the Office of Compliance Inspections and Examinations (OCIE), that agency announced how it will be immediately investigating firms to evaluate Reg BI compliance.
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| An Uptick in Customer Arbitration? |
| When there is a downturn in the markets, claims against broker/dealers (B/Ds) and investment advisers tend to increase. For example, 8,945 arbitrations were filed in 2003 in response to the declining markets associated with the “tech wreck.” As markets recovered, claims lessened and reached a low of 3,238 in 2007. In 2009, however, 7,137 arbitrations were filed, in the aftermath of the Great Recession.
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| Prepare to Meet the Needs of the Workforce of the Future |
| The way in which companies structure their remotely distributed workforces will depend on the financial consequences of the pandemic, the impact on corporate culture and other factors, such as the prevalence of gig work.
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| Consider How CITs Can Fit Into Your Practice |
| Collective investment trusts (CITs) can help clients address fee pressures, support an increased focus on fiduciary obligations, provide a means to build white-labeled investments and more.
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| Be Stronger in the Recovery |
| Todd Kading, president and co-founder of LeafHouse Financial, discusses the importance of flexibility and innovation when the tough times arrive.
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