Staff Writer

Staff Writer

Are Your Mobile Devices Secure?

English: SHARP Smartphone SH-12C Front 日本語: AQ...

For some advisors, smartphones and other portable devices, are a godsend that allows them access to client data on the go. For others, it can be a nightmare.

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SEC Considers Adopting Fiduciary Standard for Brokers

 

Seal of the U.S. Securities and Exchange Commi...

Securities and Exchange Commission Chairwoman Elisse Walter says a proposal to apply fiduciary standards to registered reps that is already imposed upon registered investment advisors is being seriously considered by the regulator, reports AdvisorOne.

 

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Avoid the Regulatory Pitfalls of Alternative Investments

Alternative Investments

Investors’ growing appetite for yield and an aversion to traditional equities has caused a stampede into alternative investments, raising eyebrows of regulators, who say that fraud associated with sales of the products is increasing.

 

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