SEC's Sketchy Insider Trading Definition Sparks Enforcement Actions
By Nicolas MorganFund advisors should re-examine policies to prevent insider trading given the shifting contours of insider trading law and the SECs aggressive enforcement.
October 26, 2016
LTCI for the massesWhy would your affluent client base be OK with leaving a portion of their liquid assets to the long-term care industry and not their heirs?
October 26, 2016
LTCI for the massesWhy would your affluent client base be OK with leaving a portion of their liquid assets to the long-term care industry and not their heirs?
October 26, 2016
Is a life insurance settlement right for your client?Determining whether an insurance settlement is the right step for your client may be more difficult than you think.
October 26, 2016
Is a life insurance settlement right for your client?Determining whether an insurance settlement is the right step for your client may be more difficult than you think.
October 26, 2016
How to Answer When FINRA Knocks on Your DoorForward-thinking firms are mining existing data for actionable intelligence to manage compliance risk, says Bill Mariano.
October 26, 2016
8 Questions to Help Advisors Comply With DOL’s Other New RuleLabors White Collar Exemption Rule, which changes the rules on which employees get overtime pay, has a deadline of this Dec. 1.
October 26, 2016
Errors of Commission: AUM Fees Are Better BusinessBroker-dealers' decisions to stop offering commission products in retirement accounts reopens the fees-versus-commissions debate.
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