White Lens Flare – Black Background

Related Content

thoughtful executive represents Reg BI and Fiduciary Duty

Podcast

Beyond the Rulebook: Practical Insights on Reg BI and Fiduciary Duty

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 […]

Learn More

orange umbrella in rain represents protecting Vulnerable adults

Article

Protecting Vulnerable Adults: A Decade of Lessons from NASAA and FINRA

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 […]

Learn More

Image representing AI in financial services

Podcast

Preparing Your Financial Services Firm for AI: Governance, Data, and Compliance

AI in Financial Services: Why Governance Matters Financial firms face unprecedented changes as artificial intelligence transforms everything from trading strategies to compliance procedures. This episode dives deep into the crucial foundation every organization should have in place before successfully integrating AI into its operations. In Part 4 of our special AI Series with Carolyn Welshhans […]

Learn More