Diversity and inclusion are two concepts that individuals in organizations of all types and sizes across the nation are discussing and implementing from the highest levels on down. There are differing ways that firms are doing this. Most agree, however, on the...
Break Away From The Pack
Month: June 2021
Do you know what it means to engage in unfair business practices?
As someone who works in the financial advising industry, you're likely well aware that there's no real cap on income. You likely know that your ability to continue generating income is contingent upon your ability to keep a steady flow of customers coming in your...
What to do if someone sues your business
Opening the mail to discover someone is trying to sue you can make you wish you had never gone into business. You will go through a range of emotions, from surprise to anger to distress. The important thing is to realize that your first reaction might not be your best...
Many RIAs are breaking away despite favorable conditions
It is unsurprising when a registered investment advisor (RIA) chooses to part ways with a firm where his or her career has stalled or just not risen to desired heights. What is surprising to many in the investment community is that many RIAs are now breaking away from...
What are the SEC’s priorities in 2021?
The Securities and Exchange Commission’s (SEC) Division of Examinations (EXAMS) recently announced its new examination priorities where investment advisers are concerned. While the majority of the exam priorities are the same as in previous years, there are a few...