Les Abromovitz

The SEC will often 'tell' advisors what compliance issues deserve attention

Les Abromovitz: You need to be extremely careful when conducting free lunch seminars, since regulators are keeping a watchful eye on them.

compliance

National Compliance Services

NASAA

Dodd-Frank

Daniel Gallagher

<p>The past two years have been some of the most momentous in the relatively short history of the RIA profession. Legislators and regulators have been gradually embracing the fiduciary standard, though whether it will fully apply to everyone calling themselves advisors remains to be seen.</p>

<p>The Department of Labor’s crusade to lower costs and increase transparency in retirement plans means a spate of new regulations affecting advisors and brokers in that market. Dodd-Frank Financial Reform, meanwhile, continues to unroll across the profession, with the biggest change being a shift to state oversight of RIAs with less than $100 million AUM. In this section, you’ll find continually updated RIABiz.com coverage on all these topics.</p>

RIA Compliance

The agency has its own ways of communicating what gets on its regulatory nerves

The SEC will often 'tell' advisors what compliance issues deserve attention

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The SEC will often 'tell' advisors what compliance issues deserve attention

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