What does FINRA say about accepting sponsor payments for firm conferences? Are payments subject to dollar limits? Is there a disclosure requirement? Is there a ...
The 60-day delay in the Labor Department’s fiduciary duty rule gives you more time to comply even if you’re left to spend it wondering what ...
Washington may be undergoing dramatic changes but there’s one constant: OCIE’s increasing exams of investment advisers. “OCIE is business as usual. We’re still doing ...
Sandy Katz is considered an “all-star” rep. So when a manager questioned why he wasn’t putting clients into cheaper mutual fund share classes, he “escalated” ...
The results are in for IA Watch’s latest flash survey of subscribers. We took at peek at longevity on the job and found that most ...
The loud pounding upon the door of the fashionable suburban house north of New York City began about 5 a.m., startling the occupants – including ...
Stray from your valuation P&Ps and you up your risks of regulatory trouble. Same goes if you routinely fail to use the valuations supplied by ...
The complete story of the hack of an adviser’s critical client data may never be fully disclosed but court records reveal the FBI looked at ...
The old adage regarding your compliance policies and procedures rings true again: Do what you say you’re going to. That lesson has come home for ...
A career as a Wall Street lawyer creates many relationships. The heat in an otherwise lukewarm Senate Banking Committee hearing on SEC Chairman nominee Jay ...