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.
New York-based fintech advisor Titan Global Capital Management will pay more than $1 million to settle charges it made misleading statements concerning hypothetical performance metrics for its crypto strategy.
The CTA broadens reporting to U.S. authorities of information—and personal identification documentation—concerning beneficial ownership of nearly all U.S. companies as well as foreign companies doing business in America.
The adopted amendments released last week will cut down on alleged abuses in the expungement process, according to a former president of the Public Investors Advocate Bar Association.
Utah-based Alpine Securities is challenging the constitutionality of FINRA. Given recent judicial decisions from more conservative courts, some legal scholars think it may succeed.
