What Can Investment Professionals Learn From the Titanic?


In recent remarks at the Insured Retirement Institute Government, Legal and Regulatory Conference, FINRA’s head of Regulatory Policy, Thomas M. Selman, made a novel comparison between the sinking of the “Titanic” and financial industry oversight. Selman used the famous disaster, which largely could have been prevented, as a cautionary tale for brokers and advisers with three valuable lessons:

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