Tag: regulation & compliance

Over the past several years, the financial services industry has undergone a tremendous evolution in how financial advisers deliver and ...

For all of the myriad ways financial advisors can structure and run their practices, firm owners generally encounter similar stages ...

There is a general understanding that investment advisers have a fiduciary relationship with their clients – in other words, that ...

In 2004, the SEC significantly strengthened the compliance responsibilities of investment advisers when Rule 206(4)-7 (also known as the "Compliance ...

Non-compete agreements (where a company prohibits an employee from working for competitors, at least for a certain period of time) ...

Continuing Education (CE) requirements are common for many professions, but historically there has been no minimum CE requirement for individual ...

All investment advisers are fiduciaries that owe a duty of care and loyalty to their clients, and, in an ideal ...

All Investment Adviser Representatives (IAR) of registered investment advisory firms are required to file Form U4, a regulatory filing containing ...

One of the most intimidating aspects of launching a solo advisory firm is the question of how to manage compliance. ...

As a document required to be filed by all registered investment advisers, Form ADV is (at least in theory) a ...