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CFP Board Delays Fiduciary Standard Enforcement - Blog

 
Friday, July 26 2019
Blog

CFP Board Delays Fiduciary Standard Enforcement

The Certified Financial Planner Board of Standards Inc. approved a new code of ethics and standards of conduct in 2018.  Enforcement of their “expanded fiduciary standard” for financial advisers and... [...]
Friday, July 19 2019
Blog

Regulation Best Interest Adopted

For all intent and purposes, the DOL Rule was an absolute mess; a thousand pages of convoluted lawyer language. I don’t know why, but at this point in my life... [...]
Monday, July 15 2019
Blog

Staying Ahead in the Heart of the Storm

With Hurricane Florence barreling down on the east coast, it would be prudent for investment advisers across the country to take a step back and reexamine the measures they have... [...]
Saturday, June 8 2019
Blog

Regulation Best Interest, adopted Form CRS

On June 4, 2019, the SEC issued a number of sweeping changes in the rules and regulations regarding the ways broker-dealers and investment advisers interact with their clients. In an... [...]
Sunday, May 19 2019
Blog

SEC Exam Priorities

In December 2018, the SEC issued its 2019 examination priorities for 2019. Due to the government shutdown from December 2018 through January 2019 the SEC was late getting started with... [...]
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