Compliance Need to Know: “It Doesn’t Happen….Until It Happens,” Cyber Security, Part I
“Morning, Rebecca,” Tom said as he walked into his business. “Mornin’, Tom. How was Houston?” she asked with a classic smile. “Great...
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Compliance: Need to Know - Protecting Your Vulnerable Clients Part IV
Disgruntled, Mrs. Anderson left the office with her acknowledgment form in her hand. Tom just thought, “What do I do now?” Then he...
Compliance: Need to Know - Protecting Your Vulnerable Clients Part III
“Well, Mrs. Anderson, what type of deck is he building?” You ask just to keep the conversation going. “What’s his name again?” “Tyler,...
Compliance: Need to Know - Protecting Your Vulnerable Clients Part II
“So, Mrs. Anderson, how are you doing today?” You ask trying to make small talk. “Oh good, I guess…” she hesitantly said. “What’s wrong?”...
Compliance: Need to Know - Protecting Your Vulnerable Clients Part I
Mrs. Robinson is late again. Normally, this wouldn’t be concerning, but she missed her last meeting without any notice. She’s a sweet...
Form CRS: Our 5th and Final Installment
Welcome back! To wrap this up, we will discuss the final three Items that go on the ADV Part 3 aka Form CRS aka the “Not More Paperwork”...
Form CRS: Part II - Diving Deeper
In our last post, we started you on a long journey discussing the requirements of the proposed Form CRS. We are going to pick up where we...
Breakdown of Form CRS - Part I
We want to begin this post at the beginning. At first glance, you can see some of the similarities between the Brochure (ADV Part 2) and...
Form CRS “Client Relationship Summary”
This month the Securities Exchange Commission published a proposal (IA-4888) for additional regulations for Broker/Dealers and Investment...
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