Banco Popular de Puerto Rico

The SEC is giving serious side-eye to firms with part-time or underqualified compliance officers.

While some firms have been successful at leveraging technology to scale sales and marketing processes, others have failed.

Rather than learn from the mistakes exposed regarding false listings of advisors’ “fee-only” status, the board doubled down on looking the other way.

Gaining notoriety and AUM is a challenge without a long-term track record, an extensive distribution network and a well-planned marketing strategy.

The SEC rule was based on a flawed assumption and fell far short of what it promised. As a result, states are forging ahead with their own fiduciary rules.

After the divorce, I was broke and in debt. Then my husband sued me.

Let’s face it, portfolio management will never be free.

Research traditionally funded by asset managers through soft-dollar trading commissions now requires added transparency.

The time has come for advisors to reexamine this key business relationship, Nina O’Neal says.

Funds that experienced poor performance and registered investment companies with little management experience are among those that may be under scrutiny.