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.
Added on January 2020 in Form an RIA
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Summary: Even 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.
Added on January 2020 in Form an RIA
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Summary: Many planners spend too much time working in their practices and often forget they need to work on them as well.
Added on January 2020 in Form an RIA
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Summary: For years, there’s been an ongoing tug of war in the financial services industry about standards of care, compensation and business structure. Based on what was once almost the expanded Department of Labor fiduciary rule and the Securities and Exchange Commission’s new Regulation Best Interest rule, one might believe advisers who charge an asset under management fee are the “good guys” and everyone else the “bad guys.”
Added on January 2020 in Form an RIA
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Summary: While the SEC’s Office of Compliance Inspections and Examinations (OCIE) maintained a relatively steady number of RIA examinations between 2018 and 2019, without staff increases it’s possible the office will have difficulty keeping up with a growing number of RIA firms, is in compliance, according to a new SEC report on 2020 exam priorities.
