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Hidden Fees Come With a Heavy Price – L&C Form ADV Fail!

RIA Compliance
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... [...] Read more
New Smart Review(SM) Enhancement Leverages Predictive Intelligence to Save Time and Reduce Risk. Compliance professionals have a tough job – trying to balance organizational risk while supporting sales and marketing growth efforts. In order to best serve the needs of the business, and... [...] Read more
Form CRS is Due June 30 For those of us who are working remotely, it can be challenging to remember which day of the week it is – there’s not a lot of differentiation between workdays... [...] Read more
Do Communication Requirements Change During a Global Crisis? Physical and financial health are both top of mind in a crisis situation like the pandemic the world is currently facing. While flattening the curve and limiting the spread of... [...] Read more
Supporting Clients and Defending Against Cybersecurity Threats During COVID-19 Between a $2 trillion stimulus package and the desperation many Americans are feeling regarding job and economic instability, the atmosphere is ripe for cybercriminals to take advantage of unsuspecting individuals.... [...] Read more
New SEC Guidance for Broker-Dealers New SEC Guidance Makes it Easier for Broker-Dealers to Offer Cash Sweep Programs Cash sweep accounts can provide broker-dealers a convenient way to support their clients and ensure they’re wisely... [...] Read more