Need help navigating the new SEC Derivatives Rule? We can help you implement an effective derivatives risk management program and maintain compliance.

Prepare for Michigan’s recently adopted IAR continuing education requirements and get help meeting regulatory obligations to ensure RIA compliance.

Wondering how the new DOL PTE 2020-02 requirements apply to investment advisers already acting as fiduciaries? Read on.

Prepare for Maryland’s recently adopted IAR continuing education requirements and get help meeting regulatory obligations to ensure RIA compliance.

Struggling to maintain and implement a policies and procedures manual that's specific to your RIA business? Get help here from our special guest author.

Learn about major pitfalls investment advisers should avoid when using compliance technology and practical implementation strategies.

Learn about Eric Powell's advice for financial advisers in leveraging compliance technology to grow their business and build trust with clients.

We were fortunate to sit down with Eric Powell, founder of RightPlan Financial and the Future Mill, to discuss what registered investment adviser (RIA) firms can do for their clients, what it means to build trust, how to leverage technology to manage compliance, and other fun stuff like what roles firefighters and personal trainers play in the financial services industry.

All states except New York have long had an individual registration requirement for investment adviser representatives (IARs). But that’s about to change.

By: Peg McLaughlin

Ever since the SEC and other regulatory bodies (i.e., FINRA) identified the possibility of “significant business disruptions” many years ago and mandated that registrants create, maintain, and test a Business Continuity Plan (“BCP”), these plans have rarely been taken very seriously until they are needed.

On March 13, 2020, the SEC announced regulatory relief for investment advisers and investment companies who may be affected by the coronavirus.  The SEC is recognizing that limits on travel, reduced personnel and other business disruptions as a result of the coronavirus may cause delays in meeting regulatory filing deadlines and other regulatory obligations.