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59 articles
The rule grew out of a major 2009 New York state pension scandal involving bribes and kickbacks for pension contracts and gets applied in SEC sweeps
One competitor is convinced the Alfreds are merely rewarding fee obfuscation but the San Diego iconoclasts refuse to be discouraged
VAs aren't all bad, according to one New Jersey RIA -- in fact, some yellowing agreements are well worth a second look and could be worth keeping
For Ask a Financial Advisor, the medium is the (video) message and the specializations include Lutherans
Heed the cautionary tale of the recent $1.6 million settlement against an RIA and its affiliated B-D that falsely claimed they co-invested in a fund
But the mega-custodians are having none of it, saying the initiative is good as far as it goes, but lacks the horsepower to tackle the big questions
Tornadoes, floods and hurricanes, sure, but death, disability and bad succession plans can also be disastrous for clients
The commission says Ray Lucia back-testing is questionable but some high-profile defenders take his side
It may be flip-flopping season on the campaign trail but RIAs must be careful to stick to one regulatory story
Whether Romney or Obama is your man there's no upside in sharing that information with your clients -- but feel free to share about the bigger picture
Examiners give seniors the benefit of the doubt in a complaint, making it imperative to keep meticulous records focusing on not just the 'what' but the 'why' of investment decisions
Bellowing that reaches the waiting room is one example of potential confidentiality-breaching behavior
The redesign is a nod to social media and a recognition that it needs the public
There is such a thing as bad press -- a disclosure that seems 'a bit much' to your public relations firm may be just enough to land you in a compliance hot spot
The agency has its own ways of communicating what gets on its regulatory nerves
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