Newswire

We’re growing our team. Know a great corporate lawyer in the greater NYC area? #jobs

April 20th, 2017

Details @ https://cnsl.me/corpcnsl

We’re growing our team. Know a great paralegal in the greater NYC area? #jobs

April 19th, 2017

Details @ https://cnsl.me/litpara

@HDelux takes the hard line on claims of ‘conflict-free’ advice with @jasonzweigwsj in @WSJ

April 13th, 2017

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DOL Fiduciary Rule Update (Delay Status)

March 30th, 2017

The DOL Fiduciary Rule (the “Rule”) was scheduled to become effective on April 10, 2017.  Since the Trump administration took office, it has been difficult to follow all of the news about delays to the Rule.  Much of the confusion is a result of procedure required to delay a rule that has been approved.  Compliance […]

We’re growing our team. Know a great litigator with RIA industry experience? Details @ https://cnsl.me/litassoc

March 2nd, 2017

Details @ https://cnsl.me/litassoc

SEC Provides Guidance to Robo-Advisers and Investors

February 24th, 2017

The SEC’s Division of Investment Management published a Guidance Update to robo-advisers that provided suggestions for how robo-advisers can address some of the unique compliance considerations and legal obligations they may have under the Investment Advisers Act of 1940.  The guidance focuses on robo-advisers that provide services directly to clients over the internet. The guidance […]

‘How RIAs Should Respond to Cyber Breaches’ @FinAd_IQ quoting @HDelux

February 23rd, 2017

The SEC requires advice firms to have reasonable safeguards to secure clients’ private data, Brian Hamburger, chief executive of compliance consulting firm MarketCounsel, tells Vonnegut. But there’s no definition of what those safeguards are supposed to be, according to Hamburger. At the same time, state regulations on cybersecurity measures vary, Vonnegut writes. That means advisors […]

‘How RIAs Should Respond to Cyber Breaches’ @FinAd_IQ quoting @HDelux

February 23rd, 2017

The SEC requires advice firms to have reasonable safeguards to secure clients’ private data, Brian Hamburger, chief executive of compliance consulting firm MarketCounsel, tells Vonnegut. But there’s no definition of what those safeguards are supposed to be, according to Hamburger. At the same time, state regulations on cybersecurity measures vary, Vonnegut writes. That means advisors […]

@HDelux talks about getting proactive on cybersecurity with @NorbVonnegut @barronsonline

February 23rd, 2017

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“The issue here is the consumer is confused,” @RIABiz recaps @Hdelux session at #T32017

February 23rd, 2017

While the conference yielded a smorgasbord of announcements, acquisitions and integrations (Strike 1!), Joel Bruckenstein is to be commended for including Brian Hamburger, Ron Carson, Bob Veres and Andy Putterman, RIA dignitaries known less for technology. Brian Hamburger, CEO, MarketCounsel:  “The Obama Administration was all about harmonizing broker vs. RIA. [England] went the opposite way and it […]