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Brokers Brace for Transparency Rules; Advisers Build on Existing Model

Of the litany of regulations coming around the bend within the retail investment space, financial advisers said they are most concerned about the fiduciary standard and additional disclosure rules.

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Of the litany of regulations coming around the bend within the retail investment space, financial advisers said they are most concerned about the fiduciary standard and additional disclosure rules.

That was the sentiment expressed in a new study from Aite Group, “FinReg’s Impact on Retail Brokerage and Proprietary Trading,” which surveyed 402 financial advisers. The potential impact of financial reform will have far-reaching implications for all faces of the financial services industry, the authors noted.

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