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Social media took center stage again when the Division of Investment Management of the Securities and Exchange Commission (“SEC”) released long awaited guidance on the applicability of the testimonial rule under the Advisers Act to the growing use of social media … Read more
New product offerings continue to proliferate as Wall Street strives to meet consumer demand. What is driving this process? Among other factors, today’s low interest rate environment has all investors chasing yields into potentially unknown territory… To read the full article fill in the … Read more
The New Security Risk When it comes to mobile devices, investment advisers used to have two choices – either they could provide new employees with a company-issued cell phone or they could adopt a flexible policy permitting the employee to bring in his … Read more