Investment Executive Article – “Is Point of Sale Disclosure a Winning Strategy?”

Few issues cause the same exasperated response from financial advisors as the prospect of heightened compliance and increased regulatory disclosure obligations.

In fact, I often hear from many advisors, who say, “What’s the problem that regulators are trying to fix?” Others, such as an industry veteran on the verge of retirement a few years ago, say, “Point-of-sale (POS) disclosure will be the death knell of the mutual fund industry.”

But is POS disclosure truly that negative? Or is it possible that it can be a winning customer strategy? I believe it to be the latter.

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