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Compliance Bulletin 01-15: A TALE OF TWO VERTICALS

Compliance Bulletin 01-15: A TALE OF TWO VERTICALS

Mitch Avnet
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February 22, 2015

The Differences Between Broker-Dealers and Investment Advisers compliance bulletin 01-15Over the past few years, we have discovered that many of our clients and prospects have taken a genuine interest and are often seeking information, trying to ascertain the benefits / issues that exist within the Broker-Dealer and Investment Adviser models. This includes, but is not limited to, regulatory requirements, commission / fee structures, infrastructure requirements, operational issues, fiduciary versus suitability standards, etc. Whether you operate within a Broker-Dealer or Investment Adviser – the basic operating premise must be the needs of the customer outweigh the needs of the firm / investment professional. Having said that, both models offer viable solutions and approaches to customers. However, as we all know – you can’t be all things to all people. There are certain activities an organization can only undertake within a broker-dealer entity (i.e., IPO’s, Secondary Offerings, M&A Advisory, Private Placements, etc.). Conversely, in order to receive a fee for providing advice to customers, an organization must be registered as an Investment Adviser. We hope you find this side-by-side analysis helpful and educational. As always, feel free to reach out with any questions, comments, etc. Happy Reading! Fill out the form below to download your complimentary Compliance Bulletin titled:

A TALE OF TWO VERTICALS: The Differences Between Broker-Dealers and Investment Advisers

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