In part three of a six-part series, “Keeping your practice compliant,” Ellen Bessner, partner, Babin Bessner Spry LLP, and Dan Richards, CEO, Client Insights, explain why face-to-face meetings are essential to advisors’ know-your-client obligations.
Regulator requests monetary penalties, disgorgement, costs and market bans
Insurance advisors answered multiple-choice questions about their industry experience for this inaugural research
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After effort to kill the PCAOB in the budget bill fails, agency's chair to exit
Ottawa aims to combat dumping with 25% levy