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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.
13 posts
Case Study – How Small IBDs Can Leverage Compliance To Accelerate Growth Turnaround Strategies
Small and mid-sized independent broker-dealer / RIA firms that have recently recovered from regulatory-related challenges can mobilize compliance…
Public Spending in 2022: In Biden’s House Are Many Manchins
Joe Manchin Didn’t Trigger Doomsday and Build Back Better’s Infrastructure Spending Will Stimulate the Economy With all the hand wringing, name calling and…
The Crypto Craze Could Murder Financial Advisors’ Careers
Efforts to Wrap Professional Asset Management Structures Around Crypto Currencies Disguise Enormous Risks to Financial Advisors If a…
Can Firms and Financial Advisors Beat Back Cybersecurity Threats?
Cybersecurity and Regulatory Risks Intersect – FSI, BNY Mellon, Entreda and SEI Discuss How Wealth Management Industry Should…
Staying Ahead of Compliance and Regulatory Trends for HNW and UHNW Wealth Managers
How Independent Firms Focused on HNW and UHNW Clients Can Avoid Regulatory or Compliance Issues While Growing on…
Let’s Never Lose Sight of Advocacy for Main Street American Investors
FSI Honors Member Efforts to Advocate for Main Street American Investors and the Wealth Management Industry FSI’s advocacy…
Help! My First-Ever Client Complaint!
Welcome to the fifth edition of Nightmare on Compliance Street. This is where I leverage my more than…
Reporting Unpaid Bills and Client Portfolio Disclosure Obligations
Welcome to the fourth edition of Nightmare on Compliance Street, where I leverage my more than 30 years…
Don’t Ask Forgiveness Versus Permission
Can Clients Co-Sign Loans For Advisors? And Beware of Unauthorized Crypto Investing. Since the launch of Nightmare on…
Easing the Retirement Savings Crisis
Can “SECURE 2.0” Help Solve America’s Looming Retirement Crisis? The numbers behind America’s looming retirement crisis are stark.…
