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.
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...
