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.
The digital revolution has made compliance issues more numerous and complicated than ever. Leaders in the space discuss how they're helping advisors manage risk.
As more advisors move to RIA affiliations, the firms are beginning to replicate their broker/dealer counterparts in terms of legal restrictions on advisors, according to Hamburger Law Chief Litigation Officer Sharron Ash.
The author believes regulation of digital assets is overdue, but with it the industry can build public trust and integrate the assets into the global financial system.
CEO Ken Bentsen’s comments came during the organization’s 'state of the industry' presentation, with FTX’s recent collapse underscoring the need for stronger supervision of the space.
The regulatory agency released an update Wednesday on its targeted sweep of firms’ supervision of options recommendations, launched in August 2021, offering more pointed questions for registrants.
The proposed rule would make remote examinations of the residential offices a permanent part of FINRA's process, but PIABA President Hugh Berkson warns it would allow reps to skirt oversight.
