Compliance & Regulation
- Compliance & Regulation
Protecting Senior Clients from Elder Financial Abuse
A client request seems unusual. What should you do? Consider asking these four questions to help protect senior clients from elder financial abuse.
- Compliance & Regulation
Online Lead Generation Services for Financial Advisors
Lead generation vendors offer a tempting pitch, but are their services a good fit for your practice?
- The Fee-Only Advisor
Dropping Your FINRA Registrations: A View from Compliance
Thinking about taking the fee-only path? Be sure you understand the compliance obligations for IARs and RIAs.
- Compliance & Regulation
What It Means to Be a Fiduciary—and Why It Matters
Savvy investors are vetting and choosing advisors based on a fiduciary standard of conduct, but determining what it means to be a fiduciary isn’t as clear-cut as you might expect.
- Compliance & Regulation
What Reg BI Means for Financial Advisors
What does Reg BI mean for financial advisors? Here, we break down the regulation's four key components.
- Compliance & Regulation
Meeting Your Fiduciary Duty: Focus on Advisory Account Documentation
Learn the importance of documentation when it comes to meeting your fiduciary duty and avoiding increased scrutiny from regulators.