Regulation and Compliance issues for Wealth Professionals can be challenging to navigate especially when the SEC is involved. Catch the latest news and analysis on compliance updates that impact financial advisors.
Advocates like As You Sow, Green America and Americans for Financial Reform gathered more than 18,000 signatures in opposition to an SEC proposal that would make it harder for owners to put petitions on corporate proxies.
The SEC's Office of Compliance Inspections and Examinations released a report cataloguing observations and best practices on cybersecurity measures found during examinations.
The company's Select and Elite services purport to help firms achieve, maintain and monitor compliance after Reg BI goes into effect at the end of June.
The client relationship form is, by design, limited to two pages in order to ensure brevity and clarity of disclosures. Yet many are grappling with the space limitations by using interactive tools and hyperlinks to other, lengthier documents...
The rule will be on the books by the time of the election, but there are a few paths a new Democratic administration may take to change it, according to industry experts and investor advocates.