A new era in SEC enforcement actions seems imminent in which the regulator seeks admissions of guilt from firms and holds gatekeepers personally accountable seems. The Securities and Exchange Commission is focused on accountability based on first-of-their-kind enforcement actions that ...

Are you confident your clients are receiving modern customer service? As consumers, each of us constantly interacts with service providers, salespeople, property managers and even the Department of Motor Vehicles. We all know when we’ve received fantastic service and we ...

Emotions, something we all have, can be the key to making your firm unforgettable and to building a deeper connection with your target audience. For example, take “Like a good neighbor,” State Farm’s motto, which has been around for a ...

Significant progress was made on the advocacy priorities impacting our industry last year despite the challenges, such as the changes in presidential administrations and the political parties controlling Congress and state legislatures, the year brought. Protecting independent contractor status: Protecting ...

A growing body of evidence suggests a gaping disconnect between what ESG investors expect and what some ESG funds are actually investing in. For asset managers, this poses significant reputational risk that can feature angry investors, lost credibility, regulatory scrutiny, ...

My business partner of 30 years, Pat McClain, likes to say, “That which got us here won’t get us there, or we’d be there already.” He says this as a reminder that we can’t expect to achieve ever-greater results if ...

We all have blind spots. These unseen areas may be unconscious biases or set ways of doing things that could lead to negative outcomes. When my car finally died, I chose a new hybrid electric car. I thought I’d enjoy ...

The Securities and Exchange Commission’s new marketing rules for investment advisers offer exciting new opportunities for online marketing. But the new rules are also full of risks.  As we draw nearer to the agency’s Nov. 4, 2022, compliance deadline for ...

Look around. Chances are you’re surrounded by several alternative investment opportunities, and you don’t even realize it. The painting from the local art gallery hanging over your couch, the top-shelf whiskey from Scotland on your bar cart or the 1966 ...

When clients do things on their own, sometimes everything turns out great. But sometimes there are glitches. And sometimes problems arise from other sources. “Do you have a copy of the trust document for my daughter’s trust account?” the client ...