Rulebook http://wealthmanagement.com/blog/246001/feed Compliance, regulatory and legal issues, with a fair amount of cops and robbers for fun. en Busted: Alts Manager Taken Away in Handcuffs http://wealthmanagement.com/blog/busted-alts-manager-taken-away-handcuffs <div class="node-body blog-body">Daniel Thibeault, a Harvard Business School graduate and president and chief investment officer of GL Capital Partners, was arrested last week and charged with securities fraud.</div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/busted-alts-manager-taken-away-handcuffs" target="_blank">read more</a></p> http://wealthmanagement.com/blog/busted-alts-manager-taken-away-handcuffs#comments Legal Blogs Rulebook Tue, 16 Dec 2014 19:29:00 +0000 732971 at http://wealthmanagement.com SEC Examination Schedule Unlikely to Change. But Does It Need to? http://wealthmanagement.com/blog/sec-examination-schedule-unlikely-change-does-it-need <div class="node-body blog-body">Is it enough to simply examine RIA firms on a limited scope basis? It was a lingering question after a session with the MarketCounsel executive team on Tuesday.</div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/sec-examination-schedule-unlikely-change-does-it-need" target="_blank">read more</a></p> http://wealthmanagement.com/blog/sec-examination-schedule-unlikely-change-does-it-need#comments RIAs Blogs Rulebook Tue, 09 Dec 2014 21:36:00 +0000 727201 at http://wealthmanagement.com Dawn Bennett: Dallas Cowboys Lawsuit 'Should Never Have Been Filed' http://wealthmanagement.com/blog/dawn-bennett-dallas-cowboys-lawsuit-should-never-have-been-filed <div class="node-body blog-body">In a statement from her spokesperson, Dawn Bennett said the Dallas Cowboys were retracting their $7.3 million lawsuit and said it "never should have been filed." </div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/dawn-bennett-dallas-cowboys-lawsuit-should-never-have-been-filed" target="_blank">read more</a></p> http://wealthmanagement.com/blog/dawn-bennett-dallas-cowboys-lawsuit-should-never-have-been-filed#comments Legal People Blogs Rulebook Fri, 21 Nov 2014 21:48:00 +0000 713471 at http://wealthmanagement.com <p><em>Copyright Ronald Martinez, Getty Images</em></p> SEC Remains Undecided on Fate of Fiduciary Standard http://wealthmanagement.com/blog/sec-remains-undecided-fate-fiduciary-standard <div class="node-body blog-body">The Securities Exchange Commission remains undecided on whether or how to move forward on a uniform fiduciary standard. </div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/sec-remains-undecided-fate-fiduciary-standard" target="_blank">read more</a></p> http://wealthmanagement.com/blog/sec-remains-undecided-fate-fiduciary-standard#comments Legal Blogs Regulation & Compliance Rulebook Mon, 10 Nov 2014 15:24:00 +0000 702741 at http://wealthmanagement.com <p>SEC Chair Mary Jo White</p> State Securities Caseload Down Even as Jail Time Increases http://wealthmanagement.com/blog/state-securities-caseload-down-even-jail-time-increases <div class="node-body blog-body">State regulators’ enforcement actions were down almost 13 percent in 2013, yet the average length of incarceration for securities crimes more than doubled.</div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/state-securities-caseload-down-even-jail-time-increases" target="_blank">read more</a></p> http://wealthmanagement.com/blog/state-securities-caseload-down-even-jail-time-increases#comments Legal Blogs Rulebook Wed, 05 Nov 2014 11:36:00 +0000 697731 at http://wealthmanagement.com Fiduciary Advocates: We Need a New Strategy http://wealthmanagement.com/blog/fiduciary-advocates-we-need-new-strategy <div class="node-body blog-body">The brokerage industry outspends RIAs 50 to one in lobbying dollars, and the press hasn't done a good job covering the fiduciary debate, advocates for the fiduciary standard said during NAPFA's fall conference today. The industry needs a new strategy.</div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/fiduciary-advocates-we-need-new-strategy" target="_blank">read more</a></p> http://wealthmanagement.com/blog/fiduciary-advocates-we-need-new-strategy#comments RIAs Blogs Rulebook Thu, 23 Oct 2014 13:13:00 +0000 688081 at http://wealthmanagement.com Is More Regulation Really Necessary to Protect Investors? http://wealthmanagement.com/blog/more-regulation-really-necessary-protect-investors <div class="node-body blog-body"><p>The Financial Planning Coalition is advocating for new regulatory standards for financial planners, contending new research shows investors are harmed by the lack of appropriate standards.</p></div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/more-regulation-really-necessary-protect-investors" target="_blank">read more</a></p> http://wealthmanagement.com/blog/more-regulation-really-necessary-protect-investors#comments Industry Blogs Rulebook Mon, 20 Oct 2014 16:47:00 +0000 685371 at http://wealthmanagement.com <div> miflippo/iStock/Thinkstock</div> FSI Responds to CARDS by Forming Task Force http://wealthmanagement.com/blog/fsi-responds-cards-forming-task-force <div class="node-body blog-body">FSI formed a task force of broker/dealer executives to analyze and respond to FINRA's Comprehensive Automated Risk Data System (CARDS) proposal.</div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/fsi-responds-cards-forming-task-force" target="_blank">read more</a></p> http://wealthmanagement.com/blog/fsi-responds-cards-forming-task-force#comments IBDs Blogs Regulation & Compliance Rulebook Thu, 02 Oct 2014 15:43:00 +0000 670101 at http://wealthmanagement.com <p>FSI President and CEO Dale Brown speaking at the organization&#39;s recent Financial Advisor Summit event in Washington, D.C.</p> The SEC Needs to Fix the Problem It Created http://wealthmanagement.com/blog/sec-needs-fix-problem-it-created <div class="node-body blog-body">Investors are being deceived about the nature of the advice they're getting, and it's a problem the SEC has created, says investor advocate Barbara Roper. </div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/sec-needs-fix-problem-it-created" target="_blank">read more</a></p> http://wealthmanagement.com/blog/sec-needs-fix-problem-it-created#comments Legal Blogs Regulation & Compliance Rulebook Thu, 04 Sep 2014 21:54:00 +0000 645851 at http://wealthmanagement.com The Blotter Report: Dirty Rotten Liars http://wealthmanagement.com/blog/blotter-report-dirty-rotten-liars <div class="node-body blog-body">A self-titled financial coach is in trouble over some shady financial advice while a Missouri who took off over his con starting unraveling takes a plea deal.</div> <div class="og_rss_groups"><ul class="links"><li class="og_links first last"><a href="/blog/rulebook">Rulebook</a></li> </ul></div><p><a href="http://wealthmanagement.com/blog/blotter-report-dirty-rotten-liars" target="_blank">read more</a></p> http://wealthmanagement.com/blog/blotter-report-dirty-rotten-liars#comments Legal Blogs Rulebook Mon, 18 Aug 2014 18:21:00 +0000 632561 at http://wealthmanagement.com