Like many stockbrokers seeking to flee a wirehouse for the bold life of running their own RIA, Ben Grant wished his 300 customers and their ...
The SEC has before it a world-changing task in possibly expanding the fiduciary duty standard to broker-dealers. Some observers believe the process will end with ...
After you type that final period into your Form ADV, Part 2 brochure, assemble a focus group of 3-4 clients and ask for their feedback."Test ...
Some have questioned the SEC's time estimates for completing the new narrative Form ADV, Part 2. Korrine Kohm has already produced four of them and ...
Perhaps it's an unannounced visit by law enforcement. Or a seriously injured employee. Or the discovery of a government whistleblower within your midst. Responding to ...
As the current crop of SEC commissioners grapples with possibly expanding those who would fall under a fiduciary duty standard, they may wish to consider ...
Investment advisers should find more willing sources of research thanks to a new soft dollars interpretation from the SEC. The Division of Investment Management responded ...
By the end of the year, expect the SEC to propose a new threshold for a "qualified client." And that often-discussed fiduciary duty study should ...
All this talk about due diligence shouldn't leave out your custodian. Sure, assessing the strength of big boys like Schwab and Fidelity may be different ...
If you don't have a hotline for employees to report wrongdoing, the losses you sustain from a fraud could be 55% higher than if you ...