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.
Once the Securities and Exchange Commission officially defines the term “family office” (and it took the first step in that direction yesterday, 12 Oct.), the floodgates may open for registered investment advisors to capture a chunk of...
A sluggish economy dampens prices; why should professional examinations be an exception? The Certified Financial Planner Board of Standards recently lopped $100 off the $595 price of its notoriously rigorous certification exam for applicants who...
Ripped from the headlines: CEO Faces $7 Million Judgment After Son's Driving Conviction in The Financial News Daily; Businesswoman Fires Nanny, Gets Slapped With Age Discrimination Suit (for $4 million) in The Financial Herald. Both chilling...