In the wake of news that the Securities and Exchange Commission issued guidance on customer reviews of advisers that are posted on third-party websites such as Yelp, blogger Michael Kitces, partner and director of research for Pinnacle Advisory Group, talked with InvestmentNews editor Fred Gabriel about the impact on advisers.
Unpacking the SEC's guidance on client reviews
Kitces digs into recent news that advisers won't be dinged for client reviews on third-party websites
Apr 11, 2014 @ 11:28 am
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InvestmentNews editor Frederick P. Gabriel Jr. and reporter Greg Iacurci talk about this week's cover story that looks at whether Fidelity Investments is stepping on the toes of retirement plan advisers.
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As the Boston-based mutual fund giant expands the products and services it brings to the retirement market, some financial advisers say the firm is encroaching on their turf.
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The bank did not properly disclose that it was steering asset-management customers into investments that would be profitable for JPMorgan Chase.
Agency failed to tell survivors that they could switch to a higher retirement benefit later.
Brokerage firms would no longer be able to charge reps for supervising nonaffiliated RIAs.