Better together? Why not all advisory teams are meant to go independent
Advisers looking for more freedom may find going independent on their own is not as fulfilling as partnering with an existing independent firms.
September 28, 2018
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The Future is Looking Cloudy for the DOL’s Fiduciary Rule
In case you missed it, this is an interesting but not wholly surprising development in the evolution of a Fiduciary Rule. I would agree the Rule as written was arbitrary and was very far reaching. In fact so far reaching that I doubt the DOL understood all of the effect the Rule.
May 1, 2018
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Jeff Groves quoted in InsuranceNewsNet
Gone are the days of having a compliance program in effect but lacking documentation of its supervision, and having regulatory audits come out with a few minor deficiencies, Groves said. “In the past, a firm could describe its compliance system in an audit, now the rule of thumb is if a firm did not document the task, it wasn't done.”.
April 23, 2018
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NASAA State Investment Adviser Examinations Uncover Cybersecurity Deficiencies
WASHINGTON, D.C. (September 24, 2017) – A series of more than 1,200 coordinated examinations of state-registered investment advisers by state securities examiners uncovered nearly 700 deficiencies involving cybersecurity, the North American Securities Administrators Association (NASAA) announced today at its annual conference in Seattle.
October 9, 2017
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