Brad Wales, Host of the Transition to RIA podcast, recently interviewed CFI’s Managing Director, Eric Siber, on the proper way to move a book of clients, under The Protocol for Broker Recruiting. As the industry’s Administrator of The Broker Protocol, we can provide your firm with expertise in Protocol related litigation matters. Watch the interview

The SEC’s new Marketing Rule 2021 is a game changer that all financial professionals need to understand. CFI Managing Directors John Ivan and Andrew Lippman, together with Richard Chen, recently provided an overview of 5 key areas of the new rule. Listen to this informative Sara Grillo podcast here: https://saragrillo.com/2021/04/12/new-sec-marketing-rule-2021-5-parts-to-be-aware-of

The SEC recently announced its Division of Examinations Observations: Investment Advisers’ Fee Calculations. The notice is expressly described as a follow-up to its 2018 Risk Alert. It highlights the importance of this topic with citations and guidance resulting from the focused examination of 130 firms referenced as the Advisory Fee Initiative. The key warning to advisers is

As predicted in its 2021 Priorities Letter, the SEC has recently brought several enforcement actions against RIAs for failure to disclose conflicts involved in revenue sharing. In one case, the SEC alleged that the dual registrant RIA failed to disclose the conflicts involved in selecting cash sweep options offered through its Clearing Firm’s platform. According