When acting in clients’ best interest, RIAs may need to ramp up fiduciary compliance activities. The new U.S. Department of Labor (DOL) rules imposing fiduciary requirements on professionals who advis ...

“My company’s had a data breach, now what?” With more than 630 data breaches in the U.S. from Jan. 1 through Aug. 31 of this year, according to the Identity Theft Resource Center, this question is bec ...

The heated nature of the rhetoric surrounding the fiduciary standard has reached a new high, focusing on whether investment advisors should offer certain investment products and how they should be com ...

Arguably, the regulatory concern about reverse churning – where advisors charge an ongoing investment fee but fail to provide any substantive ongoing investment services – is appropriate. However, the ...

The following questions were raised to us about the new DOL Fiduciary Rule. We cover the DOL Fiduciary Rule in more detail in a previous post, but we thought we'd share. Read Full Story ...

The SEC's Office of Compliance Inspections and Examinations (OCIE) has issued risk alerts for the past two years regarding the OCIE's launch and follow-up summary of OCIE's Cybersecurity Examination I ...

If (when) the SEC comes calling, here is what you can expect over the next couple of months, or — if you're on the less fortunate end of the spectrum — up to a year. Read Full Story ...

Investment advisers have a great many reasons to feel anxious and not just because of the stock market's volatility. Registered investment advisers and investment adviser representatives face the risk ...