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Thought Leadership in Action

How the SEC Will Focus on Compliance in 2022

The Securities and Exchange Commission outlined its approach to compliance this year in a recent Risk Alert.  The commission plans to take a closer look at the effectiveness of compliance policies and procedures, program oversight and the disclosures financial advisers make to their clients and shareholders.  Here’s what financial advisers can do to prepare themselves for examinations in...

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Advisers Turn to Cryptocurrency to Stand Out From Competitors

Close to 30% of financial advisers are using or expect to use cryptocurrency in their clients' portfolios, according to a recent survey by Cerulli Associates. Cryptocurrencies such as Bitcoin and Ethereum provide an opportunity for financial advisers and platforms to work with regulators to further the cause of offering retail investors thoughtful and balanced access to cryptocurrency pr...

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How the Marketing Landscape Will Change for Advisers Next Year

Some financial advisers will have more flexibility with their marketing starting in the fall of 2022.  The Securities and Exchange Commission updated investment-adviser marketing rules that go into effect on Nov. 4, 2022. The rules allow advisers to use testimonials, endorsements, and third-party ratings as long as they comply with anti-fraud protections and other conditions. The marketi...

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What the SEC Cybersecurity Crackdown Means for Financial Advisers

The U.S. Securities and Exchange Commission takes protecting clients’ data seriously.  In August, the SEC ordered eight financial firms to pay a combined $750,000 in fines for shortcomings in cybersecurity protections that led to client data being exposed over a four-year period.  The firms were charged with violating the so-called Safeguards Rule, which requires registered broker-dealer...

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