Protect Your Profits through Compliance, Communication and Education

When it comes to compliance, your revenue stream is only as strong as your regulatory and client relationships.  Making a million in revenue means very little if you pay a $500,000 fine.  How do you protect that revenue? Compliance: Follow the rules and regulations and watch closely to ensure your employees do the same. A… READ MORE

Increases Expected in Pandemic-Related Securities Litigation

Recent webinars and articles have centered around the issues the securities industry will confront as a result of the pandemic and market turmoil.  We have compiled relevant information from those sources and added our own observations based on our previous experience. Based on past market downturns, firms can expect a wave of litigation stemming from… READ MORE

Managing the Clearing Platform Transition Process

Transitioning your platform can be a vital component of making sure your firm is successful for many years to come. Managing your firm’s platform transition is a significant undertaking that will impact most areas of your business. Consistency of communication with your leadership, employees and vendors is just one part of a very complex process…. READ MORE

Webinar Slides Available: Are You Ready for April? Training and Education Around the DOL Fiduciary Rule Change

  On April 6, 2016, the U.S. Department of Labor (DOL) released its final regulation (DOL Rule) defining the circumstances under which a financial professional will be deemed to be a fiduciary.  The DOL Rule has expanded the definition of fiduciary advice and has created the best interest contract exemption (BIC Exemption) as the primary… READ MORE

Webinar Today! Are You Ready for April? Training and Education Around the DOL Fiduciary Rule Change

  On April 6, 2016, the U.S. Department of Labor (DOL) released its final regulation (DOL Rule) defining the circumstances under which a financial professional will be deemed to be a fiduciary.  Among the steps that firms should be taking are preparing education and training plans for advisors/representatives, staff and clients. Please join us for… READ MORE