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Giving CCOs the Help They Need

Added on May 2020 in Form an RIA
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Summary: It’s not uncommon for the compliance function within most RIAs and broker-dealers to get overshadowed by the organization’s core investment activities. This is not to say the area isn’t vitally important, but it’s also true that those outside of compliance rarely understand all that goes into the day-to-day of most chief compliance officers. Unlike other ancillary functions, however, when it comes to compliance, what executives don’t know can hurt them.

Open a new branch during coronavirus? How one firm did it

Added on May 2020 in Form an RIA
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Summary: In just two days, technology and remote staff helped ex-Wells Fargo FAs managing $281 million open client accounts at their new employer.

COVID-19 Could Be a Harsh Test for Advisors' Business Continuity Plans

Added on March 2020 in Form an RIA
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Summary: In 2016, the Securities and Exchange Commission proposed a rule that would require investment advisors to put business continuity and transition plans in place. But the rule was never finalized.

SEC extends Form ADV deadline for advisory firms affected by COVID-19

Added on March 2020 in Form an RIA
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Summary: The Securities and Exchange Commission announced Friday night it is extending the deadline for filing registration paperwork for investment advisers who have been affected by COVID-19.

Ten Questions to Assess Your Business Strengths and Weaknesses in 2020

Added on January 2020 in Form an RIA
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SummaryEven many experienced financial advisors are not as disciplined as they should be at staying true to their core values and remaining focused on their business goals.

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