Topic Investment Advisers

The SEC has issued new rule change proposals and reopened a comment period on a previous rule proposal. Read on to learn more about these recent SEC updates.

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

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

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

RIA compliance programs are, unfortunately, often an afterthought. Joot explains why compliance programs are important for both you and your investors.

Prepare for Michigan’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.

Read Part 1 of our interview with Eric Powell, founder of RightPlan Financial and the Future Mill, to learn 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.

In this first installment of "This Week in FinTech & Compliance" we discuss the SEC's case against Two Points Capital and what it can teach RIAs.

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

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

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