Tag: RIA

Pension Trustees – ARE YOU PREPARED? / A LESSON FROM THE LAST CRASH

Posted Decision Technologies CorporationLeave a commentPosted in Financial

March 23, 2020 The timing of the Article “Are You Prepared? / A Lesson From the Last Crash”, written by Eric S. Smith, J.D. on November 10, 2019, appears to have been clearly “prophetic” in its intended protective effect in view of the current dramatic market conditions. When this message was first written, toward the end of 2019 and in the first two months of 2020, stock markets were at all-time highs. There was, however, a growing concern that another crash might be coming, but few then could have guessed its current cause and severity.  The last crash devastated Taft-Hartley […]

Complying with New National & State “Fiduciary” and “Best Interest” Rules – A New Solution

Posted Decision Technologies CorporationLeave a commentPosted in Financial

The new regulatory initiatives by the SEC, DOL, and an increasing number of states, as well as recently filed lawsuits challenging them, are causing tremendous uncertainty. It’s clear that “something is coming” but, exactly what? Will compliance simply require increased disclosure, or will something more be required? Either way, there’s now a solution. The apparent goal of these regulatory efforts is an attempt to ensure that what is recommended by RIAs and BDs is in their clients’ best interests. How better could this be achieved and demonstrated to regulators than by comparatively evaluating all available choices using blends of weighted […]