USA - November 13 2018
“Best Interest” has because part of the American lexicon . . . As an aspirational goal or a demanding standarddepending on the point of view. But...
USA - October 22 2018
In Parts 1 and 2 of this post, we talked about the current and proposed rules applicable to rollover recommendations by broker-dealers and RIAs. Part...
Bruce L. Ashton.
USA - October 17 2018
This article discusses the fundamentals of a good process and the lessons learned from the NYU decision. The NYU committee met quarterly. There...
USA - October 11 2018
As I discussed in my last post, the Court’s opinion pointed out the deficiencies in the understandings and conduct of some committee members. However...
USA - October 3 2018
The series focuses on Best Interest and Best Practices. Those topics give me flexibility to discuss a range of subjects that affect both service...
