Can you believe it? It’s time for yet another annual review. That means it’s time...
The General Data Protection Regulation (GDPR) was approved by the European Union on April 14, 2016,...
Custody. Most advisers don’t think about how the custody rule can be triggered by a variety...
The Office of Compliance Inspections and Examinations (“OCIE”) has provided a list of...
The SEC has awarded $2.5 million to an employee of a domestic government agency and $1.7 million to...
I recently was approached by a financial adviser looking for a referral for someone who could help...
Requirements for ADV Updates from October 1, 2017. The Securities and Exchange Commission (the...
The Municipal Securities Rulemaking Board (MSRB) is reminding individuals associated with a...
IN THE MATTER OF THE ROBARE GROUP. A registered investment adviser and its principal, owner, and...
