Known (and Unknowable) Unknowns For Compliant Advisors
The SEC, FINRA, DOL — regulations and oversight come from all sides, and anticipating what's compliant today but won't be tomorrow is a tricky game.
5 New Compliance Headaches for Advisors, BDs
As Labor Day approaches, here are five big compliance developments advisors may have missed in recent months.
SEC Must Target Form ADV Changes to Reduce Advisor Costs: IAA
IAA tells SEC to focus a 'particularly keen eye' on disproportionate costs to small advisors under its request for more SMA data on Form ADV.
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.
Examiners Get Tough
Understanding the inner workings and pressures on the SEC is valuable to advisors, but RIAs are mostly worried about SEC examiners—and they should be, according to Tom Giachetti, chair of the securities practice group at Stark & Stark. “They’re assuming you’re doing something wrong,” said Giachetti of SEC examiners under...
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.”
SAGE Scholars: A Loyalty Points System for Paying College Tuition
Looking for some perks to provide clients at low cost but with high satisfaction? Introducing SAGE Scholars.
The 2014 IA 25 Special Report
This is the 12th year that we have published the IA 25, our annual list of the most influential people in and around the advisor industry.
The Municipal Advisor Law and Its Implications
Do you provide advice to government entities about financial products or the issuance of municipal securities?