Chris Stanley

August 26, 2014

6 Steps to Complying With SEC Email Regulations

August 07, 2014

Are You an ‘Internet Adviser?’ A 10-Year-Old SEC Rule Predated Robo-Advisors

June 27, 2014

The Limits of Limiting Advisor Liability

May 29, 2014

Assigning an Advisory Contract After a Merger: Ask Permission or Beg Forgiveness?

April 25, 2014

RIAs: When and Why to Make Form ADV Updates

April 02, 2014

3 Tests for Whether an Advisor Compliance Issue Is Hot, or Not

February 27, 2014

Cash for Clients: How to Stay Compliant When Paying for Referrals

January 23, 2014

Staying SEC-Compliant on Books & Records: Electronic Recordkeeping

December 24, 2013

Advisor Conflicts of Interest: Finding and Mitigating Them