A recorded discussion with Coulter Strategic Services and MTradeCraft on the responsible use of artificial intelligence in advisory firms. This session covers privacy considerations, compliance steps under SEC requirements, and practical ways to use AI tools securely and effectively. Learn how to protect client data, improve output quality, and align AI use with your firm’s fiduciary and regulatory obligations. All information provided is for educational purposes and shall no

Artificial Intelligence (AI) is transforming how investment advisers analyze data, communicate with clients, and deliver services. But...

On July 21, 2025, the Financial Crimes Enforcement Network (FinCEN), a bureau of the U.S. Department of the Treasury, announced its...

1. Withdrawn Proposed Rules – June 12, 2025 On June 12, 2025, the SEC officially withdrew multiple proposed rules introduced under the...

April 10, 2025 With Paul Atkins confirmed on April 9, 2025, as Chair of the U.S. Securities and Exchange Commission , a shift in tone is...

As the March 31st  Form ADV filing deadline approaches, investment advisers must ensure their filings are accurate, complete, and fully...

Recent regulatory scrutiny has highlighted how the misuse of social media can blur the lines between personal market opinions and...

Understanding Form ADV: A Critical Tool for Investment Advisers Form ADV is the foundational regulatory filing for investment advisers,...

Enhance Your Understanding of Form ADV – 2025 Course Now Available! Whether you're a seasoned compliance professional, an investment...

The financial exploitation of seniors and vulnerable adults is an increasing concern in today's society. As the population ages, the...

Introduction The financial exploitation of seniors and vulnerable adults is an increasing concern in today's society. As the population...

Proposed Rule: Enhanced Safeguarding Rule for Registered Investment Advisers (Proposed Date: February 15, 2023) The proposed Enhanced...

Advisory firms are subject to various regulations aimed at safeguarding client data, including the Red Flags Rule under the Fair Credit...

As the regulatory landscape for Registered Investment Advisers (Firms ) continues to evolve, staying ahead of proposed rules is crucial...

Introduction Hypothetical performance is a key component of the SEC’s Marketing Rule, which imposes specific criteria that firms must...

The recent global outage caused by a faulty CrowdStrike update, which affected Microsoft Windows systems worldwide, serves as a critical...

We are pleased to announce the release of an insightful pre-recorded presentation titled "Balancing Innovation with Regulatory...

We are pleased to announce the release of an insightful pre-recorded presentation titled "Balancing Innovation with Regulatory...

The recent SEC enforcement action against Van Eck Associates Corporation (VEAC) offers several valuable compliance lessons for registered...

Coulter Strategic Services teams up with BrightStar Law Group  for an in-depth session on Advisory Agreements and Mergers and...