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.
Financial advisors have been afraid of using social media for fear of invoking the wrath of their compliance department. They shouldn't be, since use of social media is correlated to higher assets under management
"The Congressional estate tax impasse is a rival to Jarndyce and Jarndyce. "Innumerable children have been born into the cause; innumerable young people have married into it; innumerable old people have died out of it...The little plaintiff or...
Attorneys, compensation experts and recruiters said broker recruiting bonuses would be difficult to regulate, and that if anything, the SEC would most likely require greater disclosure of the practice to clients.
If you believe in the “politicians-are-idiots” theory, you’ll love gridlock. After all, the economy and stocks tend to do better under divided government.
What will happen with the estate tax after the election? I don't think much will happen in the lame duck Congress. We'll have to wait till next year and hope Congress can bring itself to a reasonable compromise. - Gideon Rothschild, Moses &...
Every country1 in the European Union (EU) has its own laws and traditions for inheritances. This presents a problem when someone dies with assets in more than one country, as the conflict of law rules (known as private international law) result in...
Planning for an existing foreign non-grantor trust that has one or more U.S. beneficiaries presents complex challenges for trustees and professional advisors. Merely understanding the relevant U.S. tax and reporting rules is daunting enough. But...
