The regulator expects the new structure to increase compliance efficiency and effectiveness
Take these four steps to avoid mistakes that can cost advisors their livelihood
Some registered firms are not establishing an adequate compliance system
If you can’t read and digest all the rules, make sure to understand the principles behind them
By removing friction, adding convenience and changing the value proposition, you can protect your practice from the growing influence of robo-advisors
A 2016 review found weaknesses in the firm’s internal controls and supervisory systems
The association will lead a consultation on Guideline G19 with participation by both advisors and insurers
There are various steps advisors can take to ensure a positive client experience while still being compliant
Advisors need to educate themselves about the laws and regulations and monitor themselves to ensure they’re compliant with these rules
The 2018 Risk Assessment Questionnaire helps the regulator target its compliance reviews by identifying firms with higher risk rankings