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Top Tips for Updating Your 2024 Compliance Program | JD Supra
JD Supra· 21 hours agoEvery year compliance officers face the unenviable job of performing their compliance program's...
SEC Risk Alert on Compliance with the Marketing Rule-Examination Observations | JD Supra
JD Supra· 1 day agoRegarding Advisers Act Marketing Rule Compliance” (the “Alert”). This Alert reinforces prior Division publications[1]that addressed SEC-registered investment</ ...
Strategic Financial Management for Nonprofits
Digital Journal· 19 hours agoFragasso Financial Advisors, a premier investment management and financial planning firm, is proud to announce its continued commitment to providing specialized ...
Venture Capital Fund Managers’ Guide to Applying the Latest Marketing Rule Risk Alert | JD Supra
JD Supra· 4 days agoDepending on a firm’s status as a registered investment adviser (RIA) or an exempt reporting adviser (ERA), the precise requirements ...
QPAM Exemption Amendment—Key Takeaways and Action Steps for Advisors and Other Stakeholders
The National Law Review· 21 hours agoMany investment advisers and other financial institutions rely on the Department of Labor’s QPAM...
SEC Department of Examinations Issues Risk Alert on Marketing Rule Deficiencies | JD Supra
JD Supra· 1 day agoLast week, the Securities and Exchange Commission’s Division of Examinations (“DOE”) issued a Risk Alert (the “Alert”) entitled “Initial Observations...
Former Pro Baseball Player Will Advise NFLers
WealthManagement.com· 7 days agoCrump is a partner at Shreveport, La.-based WFA. The firm is affiliated with RFG Advisory, a hybrid registered investment advisor ...
Fiduciary Rule Regs May Cut $5,000 in Annual Fees per Annuity Pro: DOL | ThinkAdvisor
ThinkAdvisor· 6 days agoThe definition could affect a total of about 1,577 career insurance agents, 86,410 independent...
DOL Publishes Final QPAM Exemption Amendment | JD Supra
JD Supra· 6 days agoDepartment of Labor (DOL) published a final amendment to Prohibited Transaction Class Exemption 84-14. The amendment will become effective June 17, 2024. Registered
Fuchs Financial: Financial Risk in Retirement
WTNH-TV New Haven· 23 hours agoHARTFORD, Conn. (WTNH) – Connecticut’s Morning Buzz Reporter Rachel Lutzker was joined in the studio by Ben Fuchs, founder of Fuchs Financial, to discuss...
