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Beltway and Beyond
KEEPING YOU UP TO SPEED ON REGULATORY, LEGISLATIVE, COMPLIANCE AND LEGAL AFFAIRS
Keeping wealth management firms and other industry participants aware of regulatory, legislative, compliance and legal trends – And how to stay ahead of the curve.
33 posts
COMPLY Playbook Attempts To Equip CCOs For Ardent Regulators
Regtech Firm Releases Annual CCO Playbook, Addressing 2022 SEC Cases And Rules, FINRA, 2023 Themes And Suggested Responses…
Guide to Industry Conferences: Compliance, Governance and Regulatory
Get The Essentials On The FINRA Annual Conference, ComplyConnect Conference & Expo, MarketCounsel Summit, FSI Forum & Capitol…
FSI OneVoice 2023: The M&A Landscape For Boutique Firms
FSI OneVoice Panel With Larry Roth, Dan Seivert, Shannon Eusey And Laura Delaney Explores The Landscape For Deal-Making…
FSI OneVoice 2023: Industry Leaders Q&A Videos
We’re On The Scene At FSI OneVoice With Quick Insights From Independent Wealth Management Industry LeadersAt this year’s…
FSI OneVoice: Form CRS Tutorial Videos, Diversity Initiatives And More
Financial Services Institute Announces At OneVoice Conference Launch of Form CRS Video Tutorials, Discusses Diversity Initiatives And More…
FSI OneVoice: FSI Announces New Board Members
Financial Services Institute Announces Its New Board Members At OneVoice Conference FSI’s 2023 Board of Directors includes new…
FSI OneVoice Roundtable Preview With Commonwealth, Prospera And Atria
John Rooney Of Commonwealth Financial Network, Tarah Williams Of Prospera Financial And Bill Morrissey Of Atria Wealth Solutions…
Compliance Rescues Firms And FAs From Crypto Dumpster Fire
For Experienced Wealth Management Compliance Professionals, Crypto Always Had Less Value Than Hill Of Magic Beans As we…
ComplyConnect Spotlights Industry’s Top Regulatory Priorities
First Major Gathering Of Wealth Management Compliance Professionals Since Pandemic, Plus WSR’s Latest Compliance & Regulatory Trends Survey…
Orion And Hedge Fund Research Weigh In On U.S. Midterm Elections
Orion Webinar Sheds Light On How U.S. Midterm Elections May Impact Advisors’ Clients, HFR Data Shows Hedge Funds…