Are all the laws we have to abide by a good thing? Or are you concerned about over-regulation and regulatory reform? Here are some of the current issues that have our heads spinning:[...]
Tags: ADV 2, ADV II, arbitration, Compliance Issues, current issues, Fiduciary, laws, media restrictions, regulation, regulatory
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Compliance is considered to be the most essential service that a broker dealer can provide its advisors. With compliance requirements changing as often as New England weather patterns, financial advisors, now more than e[...]
Most financial advisors offer advisory services that cause them to have a fiduciary relationship with either some, or all of their clients. Many advisors toss this fiduciary term around in a rather cavalier manner when m[...]
In previous articles, we have discussed a number of issues that can affect the overall mechanics of making a smooth transition to another firm. Very often, registered representatives and investment adviser representative[...]
In the process of buying a practice, most of the due diligence is spent calculating the value of the practice. All too often, the buyer ignores the potential liabilities of the practice. [...]
Tags: buyer liability, buying practices, client communication, compliance audit, purchasing a financial practice, selling practices, succession planning
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