Carl Ayers
To meet this fiduciary obligation, Kestra AS was required to provide its advisory clients with full and fair disclosure that was sufficiently specific so that ...
Hilltop failed reasonably to supervise the municipal securities activities of its registered representative to ensure compliance with MSRB rules and the federal securities laws. As ...
"Investors are using ESG-related metrics to make investment decisions and to allocate capital more than ever. The question for the Commission, as the ESG Subcommittee ...
It is preferable to not allow employees to BYOD (bring their own devices to work), but it’s not realistic in most cases to prevent it
St. Germain Securities received over $1.4 million in cash sweep revenue payments related to client cash balances. This revenue sharing was at least as much ...
Use this cheat sheet for structuring your annual review
Get ready for the DOL's enforcement on rollovers, discussion of what the SEC should do regarding ESG disclosures, compliance lessons from a jailed adviser's case ...
Be sure also by the December date to be giving ERISA clients a written statement as to why a rollover serves their best interests
“We believe this action would provide a roadmap for potential establishment of a standard setting body to develop ESG disclosure standards"
Here’s a strategy you may wish to add into your compliance arsenal: If a client adds a post office box to her address in your ...