Agenda has been dominated by ESG, diversity, and private investments of late
Another way to escape liability is if you have the recipient’s expressed, written consent to call. But that’s not practical for advisers. If you purchase ...
Have a plan with a timeline. Pam Pendrell began by reading and understanding the new rule. Next, she will take an inventory of all firm ...
The DOL promises that it won’t “pursue enforcement actions against any plan fiduciary based on a failure to comply with those final rules.” The DOL ...
These techniques can help you reduce your stress so as to find creative solutions to your professional challenges. The keys are to use your five ...
The SEC's adoption of the valuation rule has generated questions about its impact on cross trades
Herren Lee’s views contrast with two of her Republican colleagues regarding climate change and ESG, but the Democrats will enjoy a 3-2 Commission majority once ...
Compliance officers should be “skeptical” because bitcoin exchanges have been hacked. Scrutinize disclosures. Understand the products. Confirm that exchanges have been vetted. Look for AML/KYC ...
15% of the SEC-registered IA population was examined in FY2020
You can deliver your “amended” Form CRS or pass along the changes in another disclosure, such as your Form ADV brochure, Form ADV summary of ...
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