Charging Performance Fees While Remaining Compliant
It's important to ensure your firm is circumspect when applying performance fees to clients.
June 15 2020
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... [...]
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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... [...]
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May 26 2020
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... [...]
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April 28 2020
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... [...]
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April 21 2020
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.... [...]
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April 20 2020
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... [...]
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