Investment Adviser News & Guidance
IA Watch's latest YouTube video features ERISA attorney Marcia Wagner of the Wagner Law Group in Boston discussing the elements of a best interest contract. Click the box below to watch the 4:56 video: 10 Elements of a Best Interest Contract under the DOL Fiduciary Duty Rule. Tell IAWatch your rea...
Consider creating correspondence that fairly lays out the pros and cons of a retirement investor either keeping his money in his 401(k) plan or moving it to an IRA that your firm will manage. E-mail the correspondence to the investor before meeting with the person and archive your e-mails to memoria...
It’s hard to conceive how you could protect your data if you don’t know what data you have.   So it’s been suggested that advisers consider developing a “data classification” policy.   “Data classification is right there in the beginning with risk analysis” when starting to confront cyber threats, s...