RCW asks many observers to prognosticate what lies ahead this year for the industry
Hopes run high that 2021 will be the year the coronavirus exits stage left, or at least is controlled to where some semblance of normalcy ...
Here's a list of new rules set to come into force this year
The Investor Advocate wrote that “we recommend that Congress or new leadership of the Commission review this rulemaking and reverse course”
An easier early step these days is to download and use a vendor’s product for free on a trial basis. Be sure to have the ...
The Commission accomplishes something that critics have long called for, modernizing its 1961 ad rule (and to a lesser extent, its 1979 cash solicitation rule)
Seven things an adviser should not do when it comes to advertising
In a final act under the Trump Administration related to its fiduciary duty rules, the Department of Labor finalized an ERISA exemption aimed at investment ...
It’s a confirmed best practice to assess how each alert may be relevant to your firm, and to glean best practices or smart actions on ...
Other examples that examiners will look for include C-level support for a robust compliance program; a lack of double standard treatment for C-level staff and ...
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