Don’t Be Complacent About Compliance
This year is the second full year of a new, aggressive SEC regulatory regime. Has the majority of the advisory community taken heed? Unfortunately not.
SEC Exam Process Lacks Consistency
Multiple exams make it difficult for firms to predict what types of questions they’ll have to answer.
The ERISA Mystery Part II: Model Portfolios in Participant-Directed Plans
The Department of Labor is charged with enforcing retirement plan participant disclosure rules, commonly known as the 404(a)(5) rules.
The ERISA Mystery
ERISA is a complex law and advisors are still confused about it.
The SEC and E-Signatures
Over the past few months, I have received several calls regarding electronic signatures. Can we? Should we? Are there any compliance-related issues?
SEC Is Getting Into the Weeds
I’m on another flight as I type this, on my way to prepare another firm for its visit from the grim reaper (aka, the SEC).
Personal Securities Reporting: Push Back at Your Peril
Your spouse or parents may need to report certain securities they hold to your compliance officer. Failure to do so may get you fired.
Cybersecurity: The SEC’s Critical Initiative
Here are some questions to be prepared for in an SEC exam and some things to keep in mind when making cybersecurity policies.
What SEC’s Recent Social Media Guidance Means for Advisors
It is important to understand exactly what the guidance update on using testimonials via social media has and has not changed.
The Municipal Advisor Law and Its Implications
Do you provide advice to government entities about financial products or the issuance of municipal securities?