SEC Fiduciary Rule Proposal – The Finer Points

SEC Fiduciary Rule Proposal – The Finer Points

Author: NICSA On April 18, 2018, the Securities and Exchange Commission (SEC) voted 4-1 to propose a package of rules and interpretations intended to enhance the retail investor experience and provide greater transparency regarding investors’ relationships with advisers and broker-dealers. NICSA members took a close look at the proposal during a recent #WebinarWednesday discussion moderated…

Penetrating the RIA/Family Office Space

Penetrating the RIA/Family Office Space

Author: NICSA As fund managers increasingly turn to the unique RIA/family office market for growth opportunities, an effective distribution strategy becomes more important than ever. NICSA members were coached on how to successfully interact with key investment research teams — including Pacific Life, Independent Financial Partners, and Massey Quick Simon— during a recent #WebinarWednesday panel…

NICSA: 8400 Westpark Drive, 2nd Floor McLean, VA 22102 • Tel: 508.485.1500 • Fax: 508.485.1560