 We’d like the advisor to understand where they have exposure within their business to the new regulations. We’re asking about their asset makeup, and whether any portions of their revenues are being driven by individual products, or by a myriad of products and compensation types. We also look into complexity—do they have a lot of small clients, is their business concentrated—how difficult will the transition to comply with this rule be moving forward.”Matt Matrisian, senior vice president of strategic initiatives, AssetMark.
|
