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QPAM Exemption Amendment—Key Takeaways and Action Steps for Advisors and Other Stakeholders
The National Law Review· 12 hours agoMany investment advisers and other financial institutions rely on the Department of Labor’s QPAM...
Spectrum Investment Advisors Announces 2 Prestigious Awards
WFRV 5 Green Bay· 17 hours agoThe Best and Brightest Companies to Work For® is proud to announce and honor the newest 2024 winning companies. Spectrum Investment Advisors is thrilled ...
Are RIAs failing their clients? - InvestmentNews
InvestmentNews· 1 day agoA recent study has found that registered investment advisors may be failing their clients when it comes to personalization. The report ...
SEC Risk Alert on Compliance with the Marketing Rule-Examination Observations | JD Supra
JD Supra· 24 hours agoRegarding Advisers Act Marketing Rule Compliance” (the “Alert”). This Alert reinforces prior Division publications[1]that addressed SEC-registered investment</ ...
Q1 GDP Report: Don’t Use Yesterday’s News To Predict Tomorrow's Inflation
Seeking Alpha· 4 days agoLawrence Fuller is the Principal of Fuller Asset Management (FAM), a state registered investment...
Strategic Financial Management for Nonprofits
Digital Journal· 11 hours agoFragasso Financial Advisors, a premier investment management and financial planning firm, is proud to announce its continued commitment to providing specialized ...
Want to go RIA? Here's where to start - InvestmentNews
InvestmentNews· 6 days agoNow more than ever, financial advisors are considering their independent freedom. Several advisors...
MAR Mining Launches Cloud Mining Contract
Digital Journal· 5 hours agoThe content should not be relied upon for making any investment or trading decisions. We the distribution company, its employees, and its affiliates are...
What is a fiduciary and why it’s important - InvestmentNews
InvestmentNews· 6 days agoForemost among the duties of Registered Investment Advisors (RIA) is to act as a fiduciary. In law...
Top Tips for Updating Your 2024 Compliance Program | JD Supra
JD Supra· 13 hours agoEvery year compliance officers face the unenviable job of performing their compliance program's...
