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By Ralph Magee
Young gay couple hailing to taxis on the streets in Greenwich Village, New York.
Blog
Benchmarking: A Key Tool for Making Informed Decisions In an increasingly competitive and complex regulatory environment, wealth management firms cannot afford to operate in a vacuum. Your strategic decisions should be guided by more than instinct or historical performance. Benchmarking gives you the context you need to make informed choices, enabling you to assess how […]
Podcast
Exploring the Shifting Landscape of Reg BI and Fiduciary Duty The standards of care for financial services professionals are undergoing a significant transformation. While the core principles of Reg BI and investment advisor fiduciary duty remain consistent, regulatory expectations around their application continue to evolve through examinations, enforcement actions, and formal guidance. In Part 1 […]
Article
How NASAA and FINRA Rules Are Safeguarding Seniors As the financial industry approaches a decade since the adoption of the NASAA Model Act (January 2016) and FINRA Rule 2165 and Rule 4512 (February 2018, with Rule 2165 amended in March 2022), it’s clear these measures have strengthened protections for vulnerable adults against financial exploitation. These […]