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By Buddy Doyle
Detail of bags of spices in Moroccan spice market in Marrakech.
Podcast
Taking Standards of Care from Policy to Practice In Part 2 of this Oyster Stew conversation, Ed Wegener continues the discussion with compliance experts Brent Nicks and Len Derus—this time focusing on the most pressing challenges firms face in applying Reg BI and fiduciary duty in practice: documentation, compensation conflicts, and rollover recommendations. The episode […]
Blog
Common Compliance Gaps for Investment Advisers The North American Securities Administrators Association (NASAA) has released its 2025 Coordinated Investment Adviser Exams Report, offering valuable insight into common compliance gaps and areas of regulatory concern for state-covered investment advisers. Based on 1,086 examinations conducted between February 1 and July 31, 2025, the report identified 3,402 violations […]
Succession Planning – Begin With the End in Mind For many Registered Investment Advisors (RIAs) and broker-dealer leaders, succession planning is something that gets deferred—often until it’s too late. Succession planning should be a fundamental part of your business strategy from day one. Whether you’re looking to transition your firm to the next generation, merge […]
