 When this happens the advisor still has a fiduciary duty to clients, and they also have regulatory responsibilities that survive their incapacity."Patricia Struck, administrator of Wisconsin's securities division and the chair, NASAA |
Advisor Input Sought in Looming Succession Plan Rules
Kenneth Corbin | Financial Planning, September 2014
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Summary: Small and midsize RIAs could soon face new requirements to have a succession plan in place for their firms, and state securities regulators are asking for input from practitioners as they wrap up the rulemaking process
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