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Ongoing Compliance Impacts Following COVID-19 - sec

 
Thursday, September 17 2020
Blog

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, August 31 2020
Blog

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
Blog

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
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... [...]
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