Fiduciary Considerations in Offering a Brokerage Window
Los Angeles partners Fred Reish and Bruce Ashton authored a white paper for TD Ameritrade titled, “Fiduciary Considerations in Offering a Brokerage Window.”
Fred and Bruce discuss the fiduciary process for deciding whether to offer a brokerage window and selecting the provider of the window; the requirements under the new participant disclosure rules; and the implications of the fiduciaries or a participant selecting an RIA to serve as an investment manager or advisor for a participant’s individual brokerage window.
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Meet the Authors
