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The Fed Expects Banking Stress to Substitute for Rate Hikes
The Federal Reserve raised the federal funds rate by 0.25% at their March meeting, bringing it to the 4.75-5.0% range. This is the ninth-straight rate increase and brings rates …
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Compliance
Understanding the SEC Marketing Rule for Financial Advisors
In late 2020, the SEC announced that it had finalized changes to its Marketing Rule for financial advisors. The amendments create a single rule that replaces the pre-existing advertising …
Compliance
Unintended Consequences Behind the SEC’s Proposed Rules on Service Providers
New rules proposed by the SEC would require greater due diligence for RIAs when working with third-party investment and compliance service providers. The proposed rules are likely to get …
Compliance
Does Your Advisory Firm Need to Worry About the California Consumer Privacy Act?
When the GDPR went into effect on May 25, 2018, more than $8 billion worth of lawsuits were filed in one day against Facebook and Google alone. Ticketmaster soon …
Compliance
If Your Firm’s Website Isn’t GDPR Compliant, It Could Really Cost You
The General Data Protection Regulation is a relatively new set of laws governing consumer data protection that went into effect in the European Union on May 25, 2018. Basically, …
Compliance
Turning Fear into Action: 5 Tips to Create a Culture of Compliance
Growing up, it was the 4-letter words that were bound to get you in trouble. Those forbidden words beginning with D or F or S were uttered in a …
Compliance
Final DOL Fiduciary Rule: What Changed?
After six years of back-and-forth, the amendment to the definition of fiduciary was finally release as the final rule on Wednesday, April 6, 2016. Final Fiduciary Rule Changes Will …
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