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More than Brazil
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senior manager, SunGard Global Services
FINRA regulations 2111 & 2090 raise the bar on advisor accountability. Is your firm ready?
posted on May 21, 2012
Come July 2012, FINRA will be “raising the bar” on the fiduciary obligations financial advisors have relative to their clients. While prior rules (FINRA 405 & 2090) emphasized ...
vice president, product services, SunGard’s institutional asset management business
What can the fund industry learn from the broker-dealer’s tax reporting experience?
Broker-dealers have become the futurologists of the asset management industry. From what I have seen, the broker-dealer’s experience has affirmed the mutual fund transition to manda...