by Tiffany L. Chamberlain, CIDA In today’s rapidly changing regulatory environment, compliance can be both confusing and overwhelming, but is a required necessity. We are addressing the most commonly asked compliance-related questions to assist advisors that may be thinking of going independent. Q: What is the difference between a Registered Investment Advisor (“RIA”) and an [...]
by David Ferguson Every four years, our attention is glued to the fascinating Summer Olympics for a couple of weeks. We witness the world’s best prepared athletes competing in a wide array of events, many of which are decided by hundredths of a second. What becomes apparent is that being quick off the starting blocks [...]
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