
With technology changing almost overnight, regulators face the difficult task of overseeing new...

The 2017 Masters Golf Tournament reminds us of an SEC enforcement action that was settled on...

As anticipated, the U.S. Department of Labor (DOL) has announced an extension of the applicability...

Your annual Firm Element training should reflect the unique and diverse nature of your firm and...

It wasn't long ago that a good number of investment advisers and industry professionals had the...

The Department of Labor (DOL) has proposed a delay in the applicability date of its Fiduciary Rule...