Newswire

The good & bad thing about the SEC? “Things don’t change very quickly” – @HdDelux to @finplan and @onwallstreet

May 5th, 2017

Clayton, a newcomer to government, is something of an unknown quantity, though in the short term, it seems likely that many staff-level initiatives will continue, says Brian Hamburger, president and CEO of MarketCounsel, a legal and compliance firm.  “On the macro level, the good thing and the bad thing about the SEC is that things […]

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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