Paula Miterko

Risk Mitigation & Reg-BI

Most in our industry are familiar with Regulation Best Interest (Reg-BI), which became effective on June 30, 2020. This rule was two decades in the making and designed to address concerns around transparency, product suitability and ensure investment opportunities proposed to clients have their best interests at heart. Reports are surfacing the SEC is finding …

Risk Mitigation & Reg-BI

The Rise of Alternative Assets

Alternative investments (“AI”) can provide private investors a way to participate in investment vehicles and with management teams they otherwise would not have access to. They diversify portfolios in ways that often have a lower correlation to stock markets and can offer higher returns than a straight stock and bond portfolio.  AI investments include private …

The Rise of Alternative Assets

“Policies & Procedures”

“Policies & Procedures” We see this term regularly in our sector but if we’re being honest, many just gloss over it thinking (1) this doesn’t apply to my role, or (2) it’s “someone else’s job” to be mindful of Policies & Procedures. For the day to day functions of your role, do you really know …

“Policies & Procedures”

Legislation Aimed at Sweeping Changes to Investments in Retirement Accounts – New Rules Starting 2022 if Passed in House Vote

A CNBC.com article published this week outlines proposed legislation that would drastically alter retirement account laws, prohibit certain investment types in qualified accounts altogether, and change tax laws in an attempt to democratize retirement savings across all income levels. ● Today, our tax laws allow all taxpayers to make IRA contributions regardless of account size. …

Legislation Aimed at Sweeping Changes to Investments in Retirement Accounts – New Rules Starting 2022 if Passed in House Vote