View in Browser

ThinkAdvisor

Compliance Watch

Jul 16, 2019

News

DOL Fiduciary Rule Hangs in Balance as Labor Secretary Acosta Resigns

By Melanie Waddell

Acosta and President Donald Trump appeared at the White House Friday morning to announce Acosta's resignation. Read More

News

House Passes Bill Expanding Whistleblower Protections

By Melanie Waddell

Meanwhile, the House Financial Services Committee passed bills to help consumers with blemished credit reports. Read More

News

FINRA Clarifies What 'Extraordinary Cooperation' Really Means

By Melanie Waddell

New guidance tells firms how they can reduce penalties by going beyond the basic requirements when being investigated. Read More

News

SEC Commissioner's Speech Rankles ESG Industry

By Ginger Szala

Morningstar's Jon Hale called Hester Peirce's speech "over the top," but some ESG backers said she made some good points. Read More

News

Florida Woman Charged in Nationwide Cryptocurrency Scheme

By Jeff Berman

The “innocent appearance” of the fraudster “belies her true nature,” William Galvin says. Read More

News

The Long, Uncertain Road to Implement Reg BI

By Bernice Napach

A lot could happen before the best-interest standard is due to take effect on June 30, 2020. Read More

Resources

Measuring the ROI on Advisor Designations

Sponsored by: Cetera Financial Group

Getting an advanced designation or certification takes a lot of effort. Get insights on if it’s really worth your while. Learn More

Why You Need to Improve Your Client Experience Right Now

Sponsored by: Orion Advisor Services

If your clients don’t feel like you are giving them the experience they want, they will find someone who does. Learn how to keep that from happening. Learn More

Connect With ThinkAdvisor

Copyright © 2019 ALM Media Properties, LLC.
All Rights Reserved.
150 E 42nd St | New York, NY 10017 | 1-877-256-2472
Ads powered by LiveIntent