If you’re a broker-dealer, you must be compliant with SEC Rule 17a-4. Make sure you know the regulations for Electronic Storage Media (ESM), and why it’s necessary to work with a Designated Third Party (D3P) to safeguard your electronic records.
This series of articles from the Investments & Wealth Monitor focus on advising mature clients including identifying the characteristics of a sound goals-based investing model, examining longevity risk, and reevaluating fixed income risks amid increased market volatility. IMCA® is the professional association for advanced investment and wealth management professionals.
The uncertain future of the Department of Labor’s Fiduciary Rule continues to be top of mind throughout the financial services industry. Now, in the aftermath of the presidential election, advisors are aiming to put their client needs front and center amidst a shifting political and regulatory landscape.