Innovation always outpaces regulation. This means that firms have a constant struggle to balance the fear of being left behind by market innovators against the risk of a regulatory action. Join us to understand how to analyze and implement emerging technologies in today’s regulatory framework. Speakers include: Buddy Doyle, CEO, Oyster Consulting,… READ MORE
Does your firm have a website? Does your firm use emails for sales and marketing? Does your firm have data about an EU citizen or resident? If you can answer YES to any of these questions, you need to know about GDPR. If you missed our recent webinar GDPR: Are You Protecting Your Clients’… READ MORE
Recording Available: Looking Out for the Baby Boomers: Are You Protecting Your Firm and Your Client?
The U.S. population is aging – in January 2011, thousands of Baby Boomers began turning 65 every day. FINRA’s new rules to increase protections for vulnerable investors and to provide firms with guidelines to ensure these protections take effect February 5, 2018. Is your firm ready to handle the issues that come with having senior clients? On… READ MORE