Suitability vs. Financial Standard
Randy Pople, CFP, AEP, Pople Financial Consulting
The gap between these two standards (Suitability vs Fiduciary) is not insignificant. The laws and regulations that govern the broker/dealer and the RIA draw a clear distinction – primarily in whose interest comes first. Interestingly a recent study discovered that the client is unaware of these two standards and how it effects them. This session will provided the advisor with a robust discussion of the differences of the two standards and how this affects their industry.
Download Handbook Here: Suitability vs. Financial Standard