CFTC Promotes SmartCheck Week to Fight Financial Fraud
Why investors should do background checks on the people they invest with.
7 Rules for Betting Against the Herd
Like it or not, we are all contrarians. Here are some guidelines for making smart calls when breaking away from the pack.
6 Overlooked Criteria for Broker-Dealer Due Diligence
It’s not surprising that when the majority of registered reps look to change their broker-dealer, they tend to focus on short-term factors and immediate satisfaction.
BDs Beware: Social Media Privacy Laws May Conflict With FINRA Rules
“Legislation that limits access to social media information may pose significant challenges for a large number of broker-dealers,” lawyers from Sutherland Asbill & Brennan wrote in a Law360 article.
4 Rules of Thumb for Attracting New Clients
To get good new clients, understand how investors choose an advisor, and why they do--and don't--make referrals.
Regulatory Oversight of Investment Advisors
Although the regulatory environment is in a state of flux, it is imperative that RIAs adhere to their compliance obligations. To ensure compliance, RIAs and IARs must fully understand what those obligations are.
Scope of the Fiduciary Duty Owed by Investment Advisors
A fiduciary obligation goes beyond the suitability standard typically owed by registered representatives of broker-dealer firms to clients. The relationship is built on the premise that the advisor will always do the right thing for the person or entity receiving advice.
Fact Check: Did Mobius Say Financial ‘Armageddon’ Was Coming Soon?
A Forbes blogpost with a screaming headline pegged to Mark Mobius about a 'hellish' financial crisis shortly forthcoming has been generating plenty of fear in the Internet sphere.