Attracting new prospects—or even retaining existing clients—could be about to get trickier as the SEC proposes the first changes to its advertising rules for investment advisors since...
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Attracting new prospects—or even retaining existing clients—could be about to get trickier as the SEC proposes the first changes to its advertising rules for investment advisors since...
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When the coronavirus pandemic forced governments around the world to impose lockdowns, businesses scrambled to adapt almost overnight.
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Mobile Archiving and Compliance
Imagine you’re sitting in a coffee shop and a client sends you a text message asking you a simple question. You know the answer, but you don’t respond because your firm has a strict...
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Are your supervision policies failing to capture the right content for review? Are your custom policies drowning your reviewers in irrelevant messages?
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Financial services regulation transformed dramatically post-2008, in an attempt to avoid a recurrence of the financial markets collapse and protect the interests of financial services...
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Here’s a question for you… Are advisers and brokers becoming more disciplined—or are regulators becoming a softer touch?
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