Senior Investors: Protecting the Client
Today, investment advisers and broker-dealers face many challenges when providing [...]
17
10, 2019
11
10, 2019
Best Execution: Compliance for Investment Advisers
Under the Investment Advisors Act of 1940 (the “Advisers Act”), [...]
20
09, 2019
Safeguarding Client Information
With the transition into the electronic storage of client data, [...]
13
09, 2019
Principal and Agency Cross Trading
Investment Adviser Principal and Agency Cross Trading practices was the [...]
9
09, 2019
Compliance, Supervision, and Disclosures
Beginning in 2017, the United States Security and Exchange Commission [...]
30
08, 2019
Regulation Best Interest and CRS Relationship Summary
In June, the U.S. Securities and Exchange Commission (SEC) passed [...]
20
08, 2019
Custody of Cryptocurrency: Considerations for Broker-Dealers
It is evident that the U.S. Securities and Exchange Commission [...]
14
08, 2019
Cryptocurrency Reg A+ Offering Approved by the SEC
Last month, the U.S. Securities and Exchange Commission (SEC) finally [...]
31
07, 2019
On-Site Due Diligence for Product Sponsors
Thanks to technology, a majority of the gathering and reviewing [...]
22
07, 2019
The Senior Safe Act: “Immunity” with Conditions
On May 23, 2019, the SEC, NASAA, and FINRA published [...]