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.
Too many firms were failing to consider and offer lower-cost or lower-risk alternatives to the non-traded products, or other complex offerings like private placements, according to a new report from state regulators.
New York-based fintech advisor Titan Global Capital Management will pay more than $1 million to settle charges it made misleading statements concerning hypothetical performance metrics for its crypto strategy.