Ask any advisor what their biggest bugaboo is these days and they're sure to utter one word: compliance. Over the past few years, the SEC...
Investment advisors and mutual funds are prodding the Securities and Exchange Commission to revamp and curtail its use of its new two-year examination schedule called...
Compliance Zero Hour
The October 5 deadline for advisors to appoint a chief compliance officer and adopt formal compliance procedures is right around the corner. Are you ready? My...
With changes afoot on everything from e-mail archiving to breakpoints to money laundering and the Patriot Act, independent broker/dealers have to be nimble. Into the...
Washington says it's trying to protect consumers,