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Harriet Christie

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Regulation & Compliance
Digital Regulation Is On the Rise. Don’t Ignore These RegulatorsDigital Regulation Is On the Rise. Don’t Ignore These Regulators
byHarriet Christie
Jun 6, 2024
4 Min Read
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Regulation & Compliance
Ripping Off the Band-Aid of Self Reporting ‘Off-Channel’ CommunicationsRipping Off the Band-Aid of Self Reporting ‘Off-Channel’ Communications
byHarriet Christie
Apr 16, 2024
5 Min Read

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FINRA HQ
Regulation & Compliance
Key Record-Keeping Takeaways From FINRA’s 2024 Regulatory Oversight Report
Key Record-Keeping Takeaways From FINRA’s 2024 Regulatory Oversight Report
Mar 7, 2024
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5 Min Read
byHarriet Christie
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WealthTech
The Need to Add ‘Communications Surveillance’ to Compliance
The Need to Add ‘Communications Surveillance’ to Compliance
Oct 31, 2023
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7 Min Read
byHarriet Christie
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Regulation & Compliance
The SEC's New Marketing Rule Explained
The SEC's New Marketing Rule Explained
Sep 22, 2022
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6 Min Read
byHarriet Christie

Latest news

Larry Restieri and Bob Oros Hightower
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Hightower CEO Bob Oros To Step Down
Hightower CEO Bob Oros To Step Down

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Industry News & Trends
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McKinsey Estimates Advisor Shortage of 100,000 by 2034

Feb 11, 2025

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Investing Strategies
Morningstar: Advisor Use of Custom Model Portfolios Rises
Advisor Use of Custom Model Portfolios Rises

Feb 11, 2025

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