Help Teach Your Clients How To Avoid Investment Scams
Clients Who Want To Chase the Latest Hot Investment Opportunity Can Be Exposed To Scams
Is Your Code of Ethics Up to Date?
Though the rule that requires firms to have a Code of Ethics (“Code”) is over a decade old, compliance professionals regularly deal with issues within their firms arising from the Code, and it’s not uncommon for firms to create a … Read More
Robo-Advisers Still Have the Same Compliance Obligations as Traditional Firms
The issue of Robo-advisers (and the potential regulatory consequences of an adviser that relies heavily on automation to achieve what was traditionally achieved through human interaction) is nothing new. In fact, electronic investment advice has been a continuous SEC top … Read More
New Customer Due Diligence Rule in Effect — What It Means for Your Firm
We live in a world filled with bad actors who consistently attempt to take advantage of flaws and weaknesses in our financial systems, often to the detriment of the law-abiding majority. When these efforts reach a grand scale in the form … Read More
Why Modern Firms Need to Understand Virtual Currency (Including Cryptocurrency)
Though once thought no more than a digital curiosity, a passing Millennial trend, or something only used by criminals in illicit, internet-based black markets, so-called virtual currency (which includes cryptocurrency, like the well-known Bitcoin), has become a staple of the … Read More
Blog | Due Diligence | Investment Adviser | Securities and Exchange Commission (SEC) | Senior Investors
Educating Aging Investors – Millennial to Baby Boomer Generations
[UPDATE] On June 21st, 2018: The U.S. Court of Appeals for the Fifth Circuit issued a mandate today that vacated the DOL Fiduciary Rule. With over 20% of the U.S. population projected to be over the age of 65 by … Read More
NSCP Regulatory Interchange with the SEC – Spring 2018
Join us at the NSCP Regulatory Interchange with the SEC at the San Francisco Schwab Center on May 4th, 2018.
5 Compelling Reasons to Seek Outsourced Compliance Services
For many firms, the idea of hiring an outsourced compliance consultant or paying for outsourced compliance services doesn’t always seem palatable. After all, the cost of hiring outside contractors certainly isn’t low, and for many firms, especially when starting out, … Read More