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 followed with a $6.5 million suit of their own. While all of the above suits have yet to be sorted out, literally “gobs” of money hang …
SEC’s New Regulation Best Interest Rule: Is the ‘Best’ Good Enough?
SEC’s New Regulation Best Interest Rule: Is the ‘Best’ Good Enough? The SEC took a step after an almost decade-long discussion to further consumer protections, passing new rules on best interest standards and fiduciary conduct for investment advice. However, the final rule was met with concern from fiduciary and consumer advocates. So now is the …
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, it’s the EU’s answer to consumer demand for increased transparency and accountability in how their data is used. Since then, California passed a similar law that …
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 moment of adolescent bravery and immediately met with a mouth full of soap. The punishment was harsh, but it taught a valuable lesson: actions have consequences. …
Practice Management: The True Cost of Compliance
Join Ron Carson and and Dan Tobin of Carson Group, along with Bryan Hill of RIA Compliance Consultants, to hear what every advisor needs to know right now about 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.
Compliance: How do I manage the constantly changing rules and regulations of financial services?
Financial advisor compliance is one of those areas that most advisors dread doing, but know is absolutely critical to their business. The potential risk of not handling compliance properly is a very real threat to any growing independent advisor, but a continually changing regulatory environment can make it difficult to keep up. Does the thought of …
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Staying on Top of SEC Marketing Rule Changes
Learn how to stay in compliance with SEC rules when using client testimonials and reviews.
