April 5, 2017
“Time is money” It’s a common saying, and anyone who doesn’t believe it probably hasn’t tried to run a business. Whether you’re a professional investment advisor or the principal of an RIA […]
March 30, 2017
Are you and your staff at the forefront of RIA compliance training, or could your tools and processes use an upgrade? Even when you think you’ve got everything covered in the event […]
March 15, 2017
When the new administration took office, members of the wealth management industry assumed that it would result in the loosening of federal and state regulations, and the decrease of SEC RIA oversight. […]
February 24, 2017
The internet provides a huge and growing frontier for criminals, and your firm is always at risk for an attack. Poor data and network management, lax protocols, and lack of knowledge can […]
February 7, 2017
In the weeks since the new administration has taken office, the news cycle has been filled with talk about executive orders and memos, controversy and, most of all, uncertainty. Many industries have […]
January 23, 2017
When starting an RIA, one of your surest paths to success is to understand compliance. Familiarizing yourself with the ins and outs of SEC and state RIA compliance will help to establish your […]
January 11, 2017
Navigating the world of RIA compliance can feel time-consuming at best and stress-inducing at worst. Compliance isn’t always an easy task, but keeping up with DOL, SEC, and state mandates is a […]
December 21, 2016
The Financial Industry Regulatory Authority, also known as FINRA, is not a governmental body like the SEC or state RIA regulators, but it still plays a major role in how RIA firms […]
December 8, 2016
The Department of Labor Fiduciary Rule is set to start a year-long rollout in April 2017, placing fiduciary responsibility to act in the best interest of the client on the shoulders of […]
