Regulation and Compliance issues for Wealth Professionals can be challenging to navigate especially when the SEC is involved. Catch the latest news and analysis on compliance updates that impact financial advisors.
“One result is that the largest advisers, and those with the wealthiest client base, will continue to receive direct SEC oversight at no additional cost, while the smaller advisers with less wealthy clients will be subject to a new added...
In an environment where stocks are volatile and interest rates low, investors are looking for yield outside of non-traditional investments. But these investments often add more risk and more complexity to a client’s portfolio. Gerri Walsh...
As financial advisor ratings websites like BrightScope and Advice IQ proliferate, advisors are going to have to get comfortable with having their records a click away from clients and prospects.
“Who pays the price for our unethical behavior? All of our loved ones.” This was the message of Patrick Kuhse, a public speaker and former stockbroker, during the Raymond James Financial Services’ National Conference for Professional Developme...
