Technology has revolutionized this sector, but in doing so, it has opened financial advisors and other industry professionals to threats and liabilities in ways never before imagined. The article goes ...

The SEC advice rule is creating a lot of buzz, and, depending upon your place in the industry, there are very different response to what the rule will likely look like.  This summary is from Bob Vere ...

The Securities and Exchange Commission’s exam division released Thursday a Risk Alert detailing the top compliance failures relating to fees and expenses charged by advisors that were cited most fre ...

An expert in cybersecurity looks at four questions you need to answer to be prepared for a cyberattack.  If you cannot answer these, your firm is unprepared. Read more... ...

At some point the SEC will come knocking at your day.  If you aren't prepared, this can be a stressful time.  Learn how to be prepared for an audit so it goes smoothly. Read more... ...

Completing your Form ADV Part 1A could be a little more complicated this year due to changes in the requirements. Learn about the changes and how this could impact your filing. Read more... Another ar ...

The article by Bob Veres covers in great detail the points made in a recent debate on the fiduciary standard and DOL Rule.  The debate was between fiduciary advocate Knut Rostad and fiduciary skeptic ...

Another fantastic analysis from Michael Kitces on the newly proposed Conduct Standards for CFP holders.  Surprised it hasn't sparked more questions and comments on his site. Will this cause the i ...