The Practice

  •  The Custody Rule and its Ramifications The Custody Rule and its Ramifications
  •  The Few and the Proud: Chief Compliance Officers The Few and the Proud: Chief Compliance Officers
  •  The Need for Thorough and Effective Policies and Procedures The Need for Thorough and Effective Policies and Procedures
  •  Trading Practices and Errors Trading Practices and Errors
  •  Updating Form ADV and Form U4 Updating Form ADV and Form U4
  •  Use and Misuse of Social Media Use and Misuse of Social Media
  •  Where Are We Headed? Where Are We Headed?
  •  Whistleblowers Whistleblowers
  • Agents Allege Carrier Complicity in CHOLI Scheme Agents Allege Carrier Complicity in CHOLI Scheme
  • Advisors Are From Mars, Clients Are From Venus Advisors Are From Mars, Clients Are From Venus