The Practice

  • The Custody Rule and its Ramifications

  • The Few and the Proud: Chief Compliance Officers

  • The Need for Thorough and Effective Policies and Procedures

  • Trading Practices and Errors

  • Updating Form ADV and Form U4

  • Use and Misuse of Social Media

  • Where Are We Headed?

  • Whistleblowers

  • Agents Allege Carrier Complicity in CHOLI Scheme

  • Advisors Are From Mars, Clients Are From Venus