Regulatory Considerations When Bringing On a New Advisor
There are many legal and compliance considerations to keep in mind when adding an advisor to your firm.
How to Avoid Failure to Supervise
“Supervision” is one of those compliance buzzwords that gets tossed around like its meaning is obvious. I submit to you that it is not.
New York RIA Registration Quirks
State investment adviser regulations can vary rather dramatically from state to state. Yet New York's regulatory regime stands out as perhaps the quirkiest.
How to (Legally) Settle Disputes With Clients
These are the essential points in resolving a client dispute without suiting up for court or arbitration.
The SEC on ADV Disclosure, Aaron Rodgers and the Robare Decision
The multiple, troubling parallels between a TV commercial starring the Packers’ quarterback and the SEC’s overkill on the Robare conflict-of-interest case.
5 Guideposts for RIAs to Comply With SEC’s Change of Control Rules
All RIAs will inevitably need to navigate the SEC’s “change of control” rules and guidance. Here’s how to stay on course.
When SEC and State Advisor Regulation Collide
Section 222(d) of the Advisers Act cleared up those de minimis conflicts between federal and state regulation, right? Not exactly, Chris Stanley says.
Advisor: Does Your Firm Have Investment Discretion?
Investment discretion is not to be taken lightly, since it is intertwined with other regulatory concepts and even ERISA. Can you say "DOL fiduciary rule"?
How to Comply — and Why — With SEC Rules on Regulatory AUM
Whether you call yourself a financial planner or investment manager, pay close attention to the SEC’s instructions (and enforcement actions) on counting regulatory AUM.
4 Useful Hacks for the SEC’s IAPD Disclosure Site
These IAPD tips can be as valuable to you and your firm as they are to investors checking you out.