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Adviser’s Road to a Retiree Ruse

 
Thursday, January 16 2020
IA Compliance News

Adviser’s Road to a Retiree Ruse

Over the past year, the SEC renewed its commitment to focus on protecting our senior citizens from abuse and financial exploitation. As fiduciaries, Investment Advisers  (IAs) must act in the... [...]
Tuesday, December 31 2019
BD Compliance IA Compliance Regulatory Alerts

FINRA Examination Reform

In case you missed it, earlier this month FINRA announced a consolidation of examination responsibilities previously divided among three different programs responsible for business conduct, financial, and trading compliance. With... [...]
Thursday, December 12 2019
IA Compliance News

‘Tis the Season for Registrations

The annual renewal season for firms has begun. It’s time to ensure that you and all representatives are registered appropriately in every jurisdiction needed. Unlike the proverbial lump of coal... [...]
Thursday, December 5 2019
Checklists IA Compliance

Important Year-End Reminders

The end of the year is the perfect time to get your firm’s compliance filing and processes in order. To help, we put together a list of important year-end compliance... [...]
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