Regulation can be just as much a friend of the advisory industry as an enemy — as long as firms can keep an open dialogue with regulators and a steady eye on the future.
That was largely the message at a panel hosting three industry insiders at the SourceMedia InVest conference in New York. Given an unfolding fiduciary rule and the upcoming Washington decision on data portability (sec.1033), the changing regulatory environment will be a driving force for advisers for the foreseeable future.
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