Now NASAA-approved, A.D. Banker is the new go-to for IAR CE--bringing audit defensibility into one platform. OVERLAND ...

A growing number of financial advisors have been leaving their broker-dealer (BD) firms to start or join a registered investment advisor (RIA), an annual industry analysis has found. The study noted ...

Investment advisors are scrambling to turn sweeping new data protection rules into real-world compliance programs as the ...

Communications such as using personal texts with clients topped the marketing rule as the ‘hottest’ SEC regulatory concern for investment advisories. Communication done outside of work channels is the ...

Brooklynn Chandler Willy faces up to 20 years in prison after admitting she misused client funds for personal expenses ...

When starting out as a financial advisor, compliance can feel like a maze of regulations. However, mastering it can help avoid significant financial risk. Compliance touches everything an advisor does ...

The Securities and Exchange Commission’s Division of Examinations issued a risk alert highlighting investment advisers’ compliance issues with the agency’s updated marketing rule, a 2020 amendment to ...

Key Takeawys Zocks is an AI-powered tool that automates meeting notes, client onboarding, and financial planning for advisors ...