Sarah O’Brien

Chatting with David Amster as he joins a compliance risk firm in 'crowded' industry just as the DOL storm makes shore

David Amster

<p>The past two years have been some of the most momentous in the relatively short history of the RIA profession. Legislators and regulators have been gradually embracing the fiduciary standard, though whether it will fully apply to everyone calling themselves advisors remains to be seen.</p>

<p>The Department of Labor’s crusade to lower costs and increase transparency in retirement plans means a spate of new regulations affecting advisors and brokers in that market. Dodd-Frank Financial Reform, meanwhile, continues to unroll across the profession, with the biggest change being a shift to state oversight of RIAs with less than $100 million AUM. In this section, you’ll find continually updated RIABiz.com coverage on all these topics.</p>

RIA Compliance

Cutting his teeth at Salomon Bros., as a FINRA examiner and then UBS fixed-income compliance guy, Amster brings a portfolio of perspectives to the roiling sector -- but don't call him a consultant

Chatting with David Amster as he joins a compliance risk firm in 'crowded' industry just as the DOL storm makes shore

RIABiz Directory

White Paper Postings

Special Sections

Common Tags

Recent Articles

Popular Writers

RIABiz

Directory

Archives

Connect