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
Compliance reviews are increasingly leading to enforcement action
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