Tag: Business model

Former SEC Enforcer Reviews Regulator’s 2019 Agenda

During a webcast hosted by ACA Compliance Group, Allison Charley, a former SEC examinations office leader, explained the regulator’s internal process for picking audit targets; other speakers noted the SEC’s increased focus on suitability issues and cybersecurity.

State-Based Fiduciary Regulations Take Shape in 2019

Regulators and legislators in a growing number of states say they are acting to fill a perceived void created by federal government disengagement; just last week, a long-awaited Nevada proposal was made public.

RBG and Triad Discuss Recently Confirmed Affiliation

Triad and Resources Investment Advisors say the recruitment of Retirement Benefits Group reflects the way retirement-focused advisers are seeking integrated practice management solutions and hands-on support from brokerage and custody service providers.

Art by Jun Cen

Right-Sizing

Ensuring that all clients are profitable.
Art by Jun Cen

Smart Design

A ground plan for making all clients profitable clients