As a Fiduciary, How Well Do You Know Your Risk?

Recently FINRA has released its 2019 Risk Priorities and Examination Priorities Letter, where investment suitability remains its top priority. The main category in the suitability area continues to be deficient quantitative suitability determinations or related supervisory controls. However, it is still common that advisors ask their clients to trust their expertise when it comes down to selecting appropriate investments for a portfolio.


Leave a Reply

Your email address will not be published. Required fields are marked *