The Practice: Regulatory/legal issues
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September 15, 2017Ex-Morgan Stanley Rep Barred by FinraFormer advisor refused to testify about termination related to an arrangement with a client whom he later married.No Comments
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September 15, 2017SEC Reveals 5 Serious Violations in RIA MarketingRegulator issues risk alert outlining RIAs’ most common failures.No Comments
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September 14, 2017Equifax Hack Could Lead to Phishing, Medical FraudWealthy individuals may be particularly vulnerable, cybersecurity experts say.No Comments
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September 13, 2017This FA Helps Victims Fight Back Against Bad BrokersFrom high-flying Wall St. stockbroker to southwest RIA and now a forensic investigator ... This FA has seen it all.
Transcript Video [ 7:12 ] No Comments -
September 13, 2017Here’s What to Do in the DOL Rule Transition PeriodLaw firm produces checklist advisors can use to protect themselves and demonstrate compliance.No Comments
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September 13, 2017Faith-Based RIA Censured Over 12b-1 FeesFirm ordered to disgorge avoidable fees.No Comments
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September 13, 2017FAs on Equifax Hack: Clients Need to Be ProactiveAdvisors suggest purchase alerts and credit monitoring.No Comments
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September 12, 2017SEC Is ‘Where Fiduciary Ideas Go to Die’Don’t hold your breath for the Feds to create a unified client-first standard, experts warn.No Comments
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September 11, 2017Uniform Fiduciary Standard Might Win Bipartisan BackingKey questions remain: can it be achieved and how would it work?No Comments
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September 11, 2017Finra, SEC Cases Highlight CCO RisksAdvice firms and CCOs should review compliance practices.No Comments
