From Disclosure to Comprehension: Mitigating Risk in a Fiduciary World

By Annette Quintana on May 25, 2017 11:43:37 AM

Since the Investment Company Act and Investment Advisers Act, the U.S. Securities and Exchange Commission has required organizations engaged primarily in investing and trading stocks to provide full disclosure about theirinvestment objectives, while minimizing conflicts of interest. Since then, disclosure has been a prominent tool in the investor-protection arsenal of regulators around the world. Unfortunately, though, as many regulators have found, clear and proper disclosure doesn’t always produce the desired result of protecting retail investors as they navigate a world of increasingly complex financial products.

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Help clients understand disclosures and reduce legal risk [video]

By Annette Quintana on Apr 25, 2017 10:04:50 AM

Build trust with clients and reduce the risk of lawsuits and regulatory challenges under the DoL Fiduciary Rule with Aprisi Assure.

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