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Wednesday, October 21 2020

BD Compliance Checklists IA Compliance News

A Winning Process for Conducting Product Due Diligence

You want to be on the ball with your clients, to give them the best possible advice and guidance to secure their futures. To do so, you need a strong... [...]

Thursday, September 17 2020

News

Ongoing Compliance Impacts Following COVID-19

2020 hasn’t been ideal, to say the least. A year that started with a booming economy has rapidly disintegrated into a pandemic, a recession and more. Many of us are... [...]

Monday, September 14 2020

News Regulatory Alerts

SEC Expands Accredited Investor, Qualified Institutional Buyer Definitions

On August 26, 2020, the SEC expanded the definition of Accredited Investor and Qualified Institutional Buyer to fall more closely in line with their intended goals: to identify investors who... [...]

Monday, August 31 2020

News Regulatory Alerts

Will Individual States Require Form CRS Submissions?

On June 30, 2020, the SEC began the enforcement of Regulation Best Interest (“Reg BI”). This guidance requires all SEC-registered investment advisers and broker-dealers to be in compliance with the... [...]

Monday, June 15 2020

News

Charging Performance Fees While Remaining Compliant

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... [...]

Friday, July 26 2019

News Regulatory Alerts

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... [...]

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A Winning Process for Conducting Product Due Diligence - sec

A Winning Process for Conducting Product Due Diligence

Ongoing Compliance Impacts Following COVID-19

SEC Expands Accredited Investor, Qualified Institutional Buyer Definitions

Will Individual States Require Form CRS Submissions?

Charging Performance Fees While Remaining Compliant

CFP Board Delays Fiduciary Standard Enforcement

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