Articles tagged "National Compliance Services"
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How Glenn Neasham lost his house, was forced to go on food stamps and faces jail time after selling a senior an indexed annuity
The case of this Lake County, Calif. insurance agent gives pause to advisors and agents dealing with seniors -- and indexed annuities
April 4, 2012 at 4:36 AM
Where RIAs should draw the line in rewarding clients for referrals
By expressing your gratitude in a tangible form, you run the risk of turning your client into a solicitor
March 26, 2012 at 5:50 AM
Lost in limbo: How and why compliance officers can seem to thwart RIA marketing efforts
CCOs have valid reasons for poring over the content of any proposed articles coming from their firm -- but they owe you a quick response
February 22, 2012 at 3:52 AM
Think about compliance before sending or posting those articles you read
A new SEC alert gives updated guidance regarding the pitfalls of using social media
January 23, 2012 at 4:40 PM
Recent SEC enforcement actions make annual policies and procedures exams even more important
Sprucing up your compliance manual early and often can prevent the SEC leaving coal in your Christmas stocking
January 5, 2012 at 4:59 AM
Why RIA videos are especially fraught with regulatory pitfalls
The productions are expensive so check with the CCO before rolling the cameras
December 5, 2011 at 4:21 AM
RIAs need to take a hard look at their use of soft dollars
Some advisors are landing in hot water with the SEC
November 11, 2011 at 5:14 AM
Examiners may ask “Says who?” about your advertisements
RIAs may run afoul of the SEC by using superlatives like "unparalleled" and "unique"
June 21, 2011 at 2:23 PM
BrightScope sticks to its guns as it responds to outspoken critics of its Advisor Pages
The San Diego-based data tracker opens a window on the practices of 450,000 advisors; skeptics say it crosses a line
May 2, 2011 at 1:18 PM
Potential whistleblowers have little to lose and millions to gain with the SEC's reward system
Here's how to keep complaints from turning into tip-off phone calls
April 14, 2011 at 1:16 PM
(Updated) RIAs stumble at ADV form goal line
SEC's still mum about what will happen to procrastinators; states adopting laidback approach
April 4, 2011 at 2:05 PM
How to avoid that fatal blow to client communication
Keep tweets, text messages and e-mails in their proper places
February 14, 2011 at 3:03 PM
SEC's new pay-to-play rules call for you to investigate your employees' political giving
Surprisingly broad regs kick in next quarter, covering RIAs that do business with the government
November 30, 2010 at 4:12 AM
Now, the SEC wants you to be a writer, too?
ADV Part 2 form calls for clear language, and detailed descriptions even of the people working for you
September 2, 2010 at 4:32 AM
Four active marketing strategies that can lead to compliance trouble
How far can RIAs go with advertisements? Part deux
