Regulation Watch

November 16, 2016

Workflow Your Way to the DoL Deadline Toolkit from SEI and Redtail

April 10, 2017 marks the deadline for initial compliance with the Department of Labor’s Fiduciary Rule, i.e., enforcement of the rule’s provisions can begin at that […]
June 20, 2016

Preparing for the Proposed FinCEN Anti-Money Laundering Rules

At the recently concluded TD Ameritrade Elite LINC Conference I had the opportunity to attend a session on the proposed Financial Crimes Enforcement Network (FinCEN) anti-money […]
June 15, 2016

Compliance Made Easier through Technology

Compliance is complicated, right?  Wouldn’t it be nice if there was an app for that? There is.  In fact, there are two of them.  Plus a […]
March 16, 2016

FINRA Issues a Report on Digital Advice

As digital investment advice platforms gain traction in the marketplace, it should come as no surprise that FINRA is taking a closer look at how these […]
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