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COMPENSATING THIRD-PARTY SOLICITORS

A publication of THE SECURITIES LAW GROUP | James E. Grand | July 2018   As registered investment advisers (“RIAs”) attempt to grow their businesses, they often consider whether to use third-party solicitors. RIAs must take care to understand the compliance...

THE “FIDUCIARY DUTY” RULE — WHAT NOW?

In Plain English A publication of THE SECURITIES LAW GROUP | James E. Grand | January 2017 As Donald Trump’s inauguration approaches, many are wondering what will happen to the DOL’s new fiduciary rule which governs advice to retirement plan assets. It is no secret...

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