November 12, 2012

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.

To read the entire article, click here.



The Faegre Drinker Biddle & Reath LLP website uses cookies to make your browsing experience as useful as possible. In order to have the full site experience, keep cookies enabled on your web browser. By browsing our site with cookies enabled, you are agreeing to their use. Review Faegre Drinker Biddle & Reath LLP's cookies information for more details.