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“I wish I could say this is an isolated example,” Kirkland said, explaining the regulator’s concern about a small cohort of advisers who transfer client funds into high-risk investments after being referred by cold-calling telemarketers.
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The industry has little chance of fighting through the legislative backlog and getting immediate wholesale change made to the ill-designed CSLR. There are things the government can do in the interim, said the FAAA, but who’s listening?
The cost of transition
S y s t e m a t i c i n v e s t m e n t g r o u p P a r a m e t r i c , o f f e r a c a s e s t u d y i n t o t h e m o s t i m p o r t a n t i s s u e m i s s e d b y i n s t i t u t i o n a l i n v e s t o r s w h e n t h e y s e e k t o c h a n g e i n v e s t m e n t s t r a t e g y ; t a x .
