Will Morgan Stanley Compensate Clients Following Massive Order-Entry Outage?
On March 25th, Murphy’s law took full effect when Morgan Stanley’s order entry and order status systems ground to halt,…
Read MoreMonth: March 2020
Investor Alert: SEC Cautions Coronavirus Investment Scams on the Rise
In February 2020, the Securities and Exchange Commission (SEC) issued an alert, cautioning investors to be wary of scams tied…
Read MoreThe Coronavirus Pandemic Presents a Unique Financial Advisor Transition Scenario
The past several weeks (which have felt like years) have turned the financial industry on its head. The market has…
Read MoreReminder: Form ADV Annual Amendment Filing Deadline and Potential Relief
This is a reminder to registered investment advisers about the requirements surrounding your Form ADV annual amendment filing. For most…
Read MoreWhat is the California Consumer Privacy Act?
The California Consumer Privacy Act (“CCPA”), which took effect on January 1, 2020, significantly changes businesses’ legal obligations in collecting…
Read MoreForm CRS – What Does it Mean for Registered Investment Advisers
A lot of noise has been made about the new Form CRS, but what exactly does it mean for registered…
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