How to Survive Today’s SEC Exams: Giachetti
One major issue: on cybersecurity, the SEC is “putting the onus on you,” the noted securities lawyer warned RIAs.
Would Your Firm’s Cybersecurity Policy Meet Regulatory Muster?
Law firm Stark & Stark has teamed with Right Size Solutions to ensure that its 900-plus advisory firm clients’ cybersecurity policies withstand regulatory scrutiny.
Thomas Giachetti, Stark & Stark’s Legal Celebrity: The 2014 IA 25 Profile
Tim Welsh of Nexus Strategy likes to call Giachetti the only “celebrity securities attorney,” but Giachetti says he “never wanted to be a lawyer.”
The IA 25 for 2014
This is our 12th annual IA 25 list, bringing together the most influential people in and around the advisor industry.
SEC Audits: 6 Items You’d Better Find, Fast
CRMs provide a "rock-solid" corporate memory against examinations and lawsuits, Junxure CEO Greg Friedman says.
5 SEC Exam Red Flags: Tom Giachetti
Even your building's cleaning staff can pose a compliance problem, the securities attorney warns.
Giachetti to Junxure Users: Show, Don’t Tell, SEC Examiners You’re Compliant
The SEC is asking smart questions in exams, the securities lawyer warns, with major changes even since 2011. His advice on how to stay compliant.
An Argument for Study Groups; 2013 TechLeaders Survey: July Investment Advisor—Slideshow
In the July issue of Investment Advisor, we take on succession planning and study groups.
What’s All the Fuss About Schapiro?
By the time you read this, Elisse Walter (at least temporarily) has replaced Mary Schapiro as chairman of the SEC.
Breach of Fiduciary Duty Most Common FINRA Complaint
While attending the last in a series of events to celebrate what the Institute for the Fiduciary Standard christened as Fiduciary September, one comment stood out: The No. 1 compliant in FINRA arbitration cases is breach of fiduciary duty.