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...

Join SBMC Consulting and Coulter Strategic Services for an insightful session featuring a compliance professional and a marketing expert...

Introduction Mutual fund share classes have distinct characteristics that directly impact investment returns through varying fees and...

Given that it is a Presidential Election year, it is crucial for firms to review their policies and ensure a thorough understanding of...

The recent amendments to Rule 206(4)-7 under the Advisers Act mark a significant shift in regulatory requirements for investment advisers...

July 26, 2023, the United States Securities and Exchange Commission (SEC) proposed a rule to address risks to investors from conflicts of...

As regulatory expectations continue to evolve in the financial advisory industry, registered investment adviser firms face increasing...

In light of recent SEC enforcement actions involving registered investment advisers, it's become increasingly clear that robust marketing...

Now that the Annual Update Amendment of Form ADV has been filed for the majority of advisory firms, it's time to shift focus to the...

In the ever-evolving landscape of financial services, two firms, referred to here as Firm A and Firm B, recently found themselves in hot...