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As you know, unlike MFIDII or other pan-European regulations, the General Data Protection Regulation ( GDPR ) reaches beyond the EU and impacts those businesses that formerly thought they were safely ensconced in the U.S. For some, they are still…
Read MoreNot to be confused with the blues song, “Long Tall Sally,” the SEC’s new research tool, SALI, can help investors avoid singing the blues after dealing with an unsavory financial professional. The SEC Action Lookup for Individuals (“SALI”), which was…
Read MoreAlthough basketball is a team sport, one-on-one games are great exercise. Typically, players call their own fouls. When it comes to one-on-one presentations, however, examiners may call a foul on investment advisers who mislead clients and prospects. In its September…
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