The SEC’s Office of Compliance and Inspections (“OCIE”), recently, issued an alert—more like a shot across the bow—to BDs and RIAs regarding its concerns over activities in the industry concerning
Continue Reading SEC Readying to Hammer BDs and RIAs Over COVID19 Compliance Risks

Most people say that New Year resolutions are only as good as the paper on which they are written. Notwithstanding that ringing endorsement, I will give it a shot.

Here
Continue Reading Ten New Year Resolutions That Will Help Your Firm

The SEC and FINRA have made it very clear that they are focused on senior customers and elder abuse. Granted, firms must be focused on the elder customers, but, at
Continue Reading Why elder issues are not just about your clients