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The founders of Beverly Hills Private Wealth discuss their motivations to leave Merrill, their transition to independence and experience as one of the first RIAs to choose Goldman Sachs Advisor Solutions as their custodian.
The agency’s moral authority may be eroded by how aggressively it has fined institutions for behavior everyone else thought was legal. Pushback may follow.
In public comment letters, Morningstar and others urge the SEC to consider revising Reg BI instead of crafting new regulations. However, investor protection advocates say the rule is needed to safeguard consumers.
