A seminar offers some insight into what the agency is looking for in firms' compliance with Reg BI and the marketing rule.
The securities watchdog’s order asserted that the rating of a mortgage-backed security deal in 2017 was at issue.
A team of four advisers in suburban New York is making the switch.
The organization is continuing to update its enforcement procedures to align with the revised code of conduct that went into force in 2020.
According to several news websites, Jennifer Campbell had worked at Pratt Collard Buck Advisory Group, a firm in Buffalo, New York, that closed at the end of last year.
Over the past 12 months, the company's shares have fallen from a high of $10.55 to Monday's price of $1.03.
Crypto bulls see the sell-off as a buying opportunity and distinguish the offshore platform from regulated funds and U.S.-based platforms.
Regardless of whether you connect with clients in person or virtually, the fundamentals of establishing relationships and building trust remain the same.
But a former SEC official told the audience at the ComplyConnect conference in Austin not to expect the agency to be lenient in initial exams.
Known as the '3% investment policy,' the rule acted as a modest — if nagging — monthly charge on the revenue advisers generated.
The training will help advisers improve their marketing, as well as teaching them to develop video content and launch podcasts and events.
Consider skipping the classic fruit basket, and think of new, memorable ways to wow clients this holiday season.
Richard Best tells an audience of compliance professionals that online attacks pose a threat to firms of all sizes.
The goal is for independent registered investment advisers to explain to clients simply and transparently what they're paying for services provided.
If advisers don't set expectations when they first meet with clients, clients will create their own, and odds are they'll be disappointed.
Complications for LGBTQ+ clients are only likely to proliferate with impending legal decisions.
The aim is to help more military members and their families reach financial goals.
The firm specializing in tax-related advice draws from advisers and accountants.
The latest moves illustrate the push-and-pull dynamics of recruiting and hiring advisers at Wells Fargo.
A successful job offer will not only win the candidate, but lay out a sustainable vision for the future.
