Beltway & Beyond

KEEPING YOU UP TO SPEED ON REGULATORY, LEGISLATIVE, COMPLIANCE AND LEGAL AFFAIRS

Keeping wealth management firms and other industry participants aware of regulatory, legislative, compliance and legal trends – And how to stay ahead of the curve.

Essential Edge’s Sander Ressler Co-Founds New Compliant Video Marketing Firm for Financial Advisors

SEC Rule Allowing Client Testimonials In Financial Advisor Promotional Materials Drives Expanded Demand For Regulatory-Ready Video

By James Miller

/ 16 Jan 2024

Sander Ressler, Managing Partner, Essential Edge & Vice President, Vidiance LLC

Where Compliance And Regulations Are Headed For Advisors In 2024

F2 Strategy, Crescent Grove Advisors And Smarsh Share Insights On What’s Coming For Wealth Management Firms In The Year Ahead

By Chris Latham

/ 29 Nov 2023

Where Compliance And Regulations Are Headed For Advisors In 2024

Rule Proposal Could Have Chilling Effect On The Industry

The SEC Should Withdraw Its Recent Predictive Data Analytics Rule Proposal And Endeavor To Understand The Role Of Technology Better

By WSR Newsroom

/ 21 Nov 2023

Rule Proposal Could Have Chilling Effect On The Industry

A Guide To Complying With The Marketing Rule

SEC Enforcement Revealed Marketing Compliance Keys For Advisors

By WSR Newsroom

/ 13 Nov 2023

A Guide To Complying With The Marketing Rule

Political Football: Stand Out In The Game Of Practice Differentiation

Three Keys To Navigating High Net Worth Clients Through Estate And Gift Tax Changes

By WSR Newsroom

/ 24 Jul 2023

Political Football: Stand Out In The Game Of Practice Differentiation

Survey Shows Investment Adviser Sector Continues Growth

IAA And COMPLY Publish Annual Investment Adviser Snapshot Revealing Growth Plus Key Trends In Remote Work, Regulation And Private Funds

By Michael Madden

/ 23 Jun 2023

Survey Shows Investment Adviser Sector Continues Growth

Rising Compliance Risks Of NOT Discussing Life Settlements

In An Age Of Regulatory Harmonization, Financial Advisors Face New Pressures To Weigh Pros And Cons Of Life Settlements For Clients Life settlements might be making a comeback. Commonly defined

By WSR Newsroom

/ 20 Jun 2023

Rising Compliance Risks Of NOT Discussing Life Settlements

COMPLY Playbook Attempts To Equip CCOs For Ardent Regulators

Regtech Firm Releases Annual CCO Playbook, Addressing 2022 SEC Cases And Rules, FINRA, 2023 Themes And Suggested Responses To Active Regulatory Landscape Regtech firm COMPLY announced the publication of its

By Michael Madden

/ 1 May 2023

COMPLY Playbook Attempts To Equip CCOs For Ardent Regulators

Guide to Industry Conferences: Compliance, Governance and Regulatory

Get The Essentials On The FINRA Annual Conference, ComplyConnect Conference & Expo, MarketCounsel Summit, FSI Forum & Capitol Hill Day And FSI OneVoice Not sure which of the seemingly endless

By Chris Latham

/ 27 Apr 2023

Guide to Industry Conferences: Compliance, Governance and Regulatory

FSI OneVoice 2023: The M&A Landscape For Boutique Firms

FSI OneVoice Panel With Larry Roth, Dan Seivert, Shannon Eusey And Laura Delaney Explores The Landscape For Deal-Making An FSI OneVoice panel conducted Tuesday on the M&A landscape

By Chris Latham

/ 25 Jan 2023

FSI OneVoice 2023: The M&A Landscape For Boutique Firms

FSI OneVoice 2023: Industry Leaders Q&A Videos

We’re On The Scene At FSI OneVoice With Quick Insights From Independent Wealth Management Industry Leaders At this year’s FSI OneVoice in Palm Desert, California, I’m speaking

By Chris Latham

/ 24 Jan 2023

FSI OneVoice 2023: Industry Leaders Q&A Videos

FSI OneVoice: Form CRS Tutorial Videos, Diversity Initiatives And More

Financial Services Institute Announces At OneVoice Conference Launch of Form CRS Video Tutorials, Discusses Diversity Initiatives And More At its OneVoice conference in Palm Desert, California, the Financial Services Institute

By Chris Latham

/ 24 Jan 2023

FSI OneVoice: Form CRS Tutorial Videos, Diversity Initiatives And More

Beltway & Beyond

Essential Edge’s Sander Ressler Co-Founds New Compliant Video Marketing Firm for Financial Advisors

Where Compliance And Regulations Are Headed For Advisors In 2024

Rule Proposal Could Have Chilling Effect On The Industry

A Guide To Complying With The Marketing Rule

Political Football: Stand Out In The Game Of Practice Differentiation

Survey Shows Investment Adviser Sector Continues Growth

Rising Compliance Risks Of NOT Discussing Life Settlements

COMPLY Playbook Attempts To Equip CCOs For Ardent Regulators

Guide to Industry Conferences: Compliance, Governance and Regulatory

FSI OneVoice 2023: The M&A Landscape For Boutique Firms

FSI OneVoice 2023: Industry Leaders Q&A Videos

FSI OneVoice: Form CRS Tutorial Videos, Diversity Initiatives And More

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