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Compliance Best Practices

Best practices for complying with the cash solicitation rule
This one-page form can be used to document a client's choice of either an investment advisory or brokerage account. It comes with fillable fields. Dan ...
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
Karen Huey demonstrates a process for testing the accuracy of your fees. Video runs 7:11
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 ...
Seven things an adviser should not do when it comes to advertising
“There is only one thing worse than being talked about,” said Oscar Wilde, “and that is not being talked about.” Private fund CCOs might beg ...
Use this tool to aid your COE training
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