As the country still reels from the effects of the pandemic, the relentless assault of cybercriminals has not slowed. And, with many people continuing to work online from home (66…

Non-cash compensation can be a slippery slope, can’t it? Regulatory guidance on non-cash compensation includes a provision for business entertainment and meetings; this provision allows reasonable amounts of food and…

The past year has included a fair amount of economic uncertainty, impacting businesses trying to plan for the future and properly equip their teams. We’ve talked to teams who wonder…

These are unusual times at best. Many Americans, and many people around the world for that matter, are feeling scared, stressed, and frustrated. According to the National Endowment for Financial…

As of June 30, 2020, Regulation Best Interest–or Reg BI–is officially in effect. Despite pandemics, economic concerns, reduced staffing and more, this new regulation is now an official obligation for financial advisers. The goal of these…

For most financial advisers, staying compliant means applying extreme diligence across a variety of areas as you keep tabs on a host of regulatory requirements. From advertising compliance to creating…