The guidance aims to help firms identify and engage appropriate consultants
Referral cases more than doubled from 2018 to 2019
New committee to provide input on technical compliance challenges
Advisors also shared how firms could help further
Lower compliance costs will allow advisors to better serve smaller investors
The case is the last of four involving the sale of syndicated mortgages
Online distribution platforms are among the emerging issues identified by the U.S. self-regulatory organization
Renee Michelle Penko will spend 30 days in jail
The RAC serves as a forum to discuss compliance and registration issues
Inadequate due diligence on products a “common contributor” to suitability failings