A new alert from the commission’s Division of Examinations found that many RIAs are miscalculating fees and often overcharging clients, risking enforcement actions.
A timeline of the past seven years of IRS policies, statements and actions on virtual currency.
Shannon Spotswood, president of RFG Advisory, discusses how technology changed the way advisors interact with clients and the future of advisory platforms.
CFP professionals may face a public censure if they do not report within 30 days certain information that could point toward possible misconduct.
The only thing that matters for a lot of these aggregators is their bottom line and the financial arbitrage that is being catalyzed by M&A, writes Patrick Brewer of WealthSource Partners.
Given the way many managed account programs are structured, an advisor could run afoul of the SEC without even realizing it.
A Conversation with Tash Elwyn, President and CEO of Raymond James and Associates.
During a panel discussion on the new rule’s impact, one securities attorney said the DOL's interpretation on what recommendations fell under ERISA fiduciary scrutiny was “more expansive” than ever.
The firm’s sanctions include $1.7 million in restitution for harmed customers.
